0

FEED THE FUTURE INNOVATION LAB FOR COLLABORATIVE RESEARCH ON GRAIN LEGUMES

OPERATIONS AND POLICY MANUAL

October 2013 – September 29, 2017

Approved by Technical Management Advisory Committee - April 2009 Updated by the Management Office - FY 2012- to Reflect Increase in Authorization

(September 2009) and to Align with Feed the Future Updated by the Management Office – FY2013 to reflect increased authorization (April

2013), new planning tools, and Legume Innovation Lab name Updated May 2014 and Dec 2015 to reflect new program

This publicat ion w as made possible through support provided to the Feed the Future Innovat ion Lab for Collaborat ive Research on Grain Legumes by the Bureau for Food Security, previously the Bureau for Economic Grow th, Agriculture, and Trade, U.S. Agency for Internat ional Development, under the terms of Grant No.EDH-A-00-07-00005-00 The opinions expressed herein are those of the authors and do not necessarily ref lect the view s of the U.S. Agency for Internat ional Development.

i

THE FEED THE FUTURE INNOVATION LAB FOR COLLABORATIVE RESEARCH ON GRAIN LEGUMES

GLOBAL PROGRAM VISION

An innovative and vibrant research, technology dissemination, and capacity building strategy for grain legumes that:

Builds upon the technical advances in grain legume research and capacity building achieved during the 2007–2012 aw ard period;

Exploits opportunit ies to make substantial new technological gains while contribut ing to USAID’s Feed the Future Global Food Security Research Strategy of “ enhancing grain legume productivity and the nutrit ional quality of diets” ;

Focuses efforts on priority technical constraints and challenges facing legume value chains, utilizing the innovative research approaches afforded by modern science and the capacit ies of U.S. universit ies;

Integrates program strengthening measures in response to lessons learned over the past f ive years and recommendations from the Pulse CRSP’s Technical Management Advisory Committee (TMAC) and the External Evaluation Team (EET) commissioned by USAID;

Reflects expanded partnerships and coordination of act ivit ies w ith the CGIAR through the CRP on Grain Legumes and Africa RISING in areas w here the Legume Innovation Lab has comparative strength and ongoing collaborative efforts;

Enables the Legume Innovation Lab to provide continued international leadership in grain legume research and capacity building in synergy w ith other USAID investments at the international (BHEARD, HESN, Peanut and Mycotoxin Innovation Lab), regional, and country levels as w ell as w ith other U.S. government programs (USDA/ARS, BeanCAP, and NIFA); and

Posit ions the Legume Innovation Lab to better contribute to the achievement of FTF agricultural development strategies of country and regional USAID Missions and to provide development assistance through the Associate Aw ard mechanism.

Management Office, Michigan State University:

Program Director- Dr. Irvin E. Widders, w idders@anr.msu.edu Deputy Program Director- Dr. Cynthia Donovan, donovanc@anr.msu.edu Administrat ive/Financial Off icer- Ms. Angelica Santos, santosa@anr.msu.edu Administrat ive Assistant - Ms. Kade Sharrow , sharrow @anr.msu.edu Communications Specialist- Dr. Marguerite Halversen, halverse@anr.msu.edu

Office of Contract and Grant Administration, Michigan State University:

Senior Contract and Grant Administrator- Diane Cox, coxd@osp.msu.edu Office of Agriculture, Research and Policy, Bureau for Food Security, USAID/Washington:

Agreement Off icer’s Representat ive (AOR)- Dr. Jennifer “ Vern” Long jlong@usaid.gov

FOR FURTHER INFORMATION, CONTACT:

Legume Innovation Lab

ii

Michigan State University Justin S. Morrill Hall of Agriculture 446 W. Circle Drive, Room 321 East Lansing, Michigan 48824 U.S.A. Phone: (517) 355-4693 Fax: (517) 432-1073 Email: legumelab@anr.msu.edu Web: w w w .legumelab.msu.edu

iii

ACRONYMS ADS Automated Direct ives Systems (USAID)

AOR Administrat ive Off icer’s Representat ive

BEO Bureau Environmental Off icers (USAID)

BFS Bureau for Food Security

CANR College of Agriculture and Natural Resources

CGA Contract and Grant Administrat ion

CGIAR Consultat ive Group for International Agricultural Research

CGC Center for Global Connections

CHSO Cognizant Human Subjects Off icer (USAID)

CIAT Centro International de Agricultura Tropical

CRP Consort ium Research Program

CRSP Collaborative Research Support Program

EAP External Advisory Panel

EMMP Environmental Mit igat ion and Monitoring Plan

FDA Food and Drug Administrat ion

FTE Full t ime equivalent

FTF Feed the Future

GATT General Agreement on Tarif fs and Trade

GMO Genetic Modif ied Organisms

HAC Health and Accident Coverage

HC Host country

IARC International Agricultural Research Center

IITA International Inst itute for Tropical Agriculture

IR Inst itut ional Representat ive

LWA Leader w ith Associate

M/FM Management Bureau Off ice of Financial Management (USAID)

ME Management Entity

M&E Monitoring and Evaluation

MO Management Off ice

MTA Material Transfer Agreements

MSU Michigan State University

NARS National Agricultural Research System

NGO Non-governmental organization

NICRA Negotiated Indirect Cost Rate Agreement

NIH National Inst itute of Health

OAA Off ice of Acquisit ions and Assistance

OMB Off ice of Management and Budget

PI Principal Investigator

RFP Request for Proposals

SPA Sponsored Programs Administrat ion

TMAC Technical Management Advisory Committee

TRIPS The Agreement on Trade Related Aspects of Intellectual Property

USAID United States Agency for International Development

USG United States Government

iv

TABLE OF CONTENTS GLOBAL PROGRAM VISION ............................................................................. i

ACRONYMS .................................................................................................. iii

TABLE OF CONTENTS ................................................................................... iv

I. PROGRAM OVERVIEW ............................................................................. 1

A. GLOBAL THEMES OF LEGUME INNOVATION LAB .................................. 1

B. OVERVIEW OF THE LEGUME INNOVATION LAB ORGANIZATIONAL STRUCTURE .............................................................................................. 1

II. PROGRAM ADMINISTRATIVE STRUCTURE AND FUNCTION ........................ 2

A. MANAGEMENT .................................................................................. 2

Management Entity .................................................................................. 2

Management Off ice.................................................................................. 2

Responsibilit ies of Management Off ice Staff ............................................... 3

USAID Agreement Off icer’s Representat ive (AOR) ....................................... 3

B. PROGRAM ADVISORY GROUPS ........................................................... 5

External Advisory Panel (EAP) ................................................................... 5

Technical Management Advisory Committee (TMAC) ................................... 5

Inst itut ional Representat ives (IRs) .............................................................. 6

III. PROGRAM IMPLEMENTATION ................................................................ 6

A. TECHNICAL PROGRAM FOR 2013-2017 ............................................... 6

B. CONTRACTUAL FRAMEWORK FOR PROGRAM ..................................... 7

U.S. Lead University ................................................................................ 7

Host Country Inst itut ion ........................................................................... 7

Letter of HC Inst itut ion Willingness to Partner ............................................. 8

C. CONTRACTUAL MECHANISMS FOR SUBAWARDS ................................ 8

Subagreements betw een ME and Lead U.S. Inst itut ions ............................... 8

Fixed Price Contracts betw een U.S. Lead and Host Country Inst itut ions ......... 8

D. PERFORMANCE MONITORING AND ASSESSMENT ................................ 9

Project Technical Applicat ions ................................................................... 9

Annual Workplans .................................................................................... 9

Semi-Annual Milestones of Progress ........................................................ 10

Annual Technical Progress Reports .......................................................... 10

Feed the Future Performance Indicators .................................................... 11

E. PROCEDURES FOR CHANGE .............................................................. 11

Change of Principle Investigators ............................................................. 12

Change in Budgets ................................................................................. 12

IV. FINANCIAL MANAGEMENT .................................................................. 12

A. ANNUAL BUDGETS .......................................................................... 12

v

B. FINANCIAL REPORTS ........................................................................ 15

C. POLICY ON ALLOWABLE CARRY FORWARD ....................................... 16

V. PROGRAM POLICIES AND GUIDELINES .................................................... 17

A. COST SHARE ................................................................................... 17

B. U.S. – HOST COUNTRY INSTITUTIONAL BUDGET SPLIT ...................... 17

C. INSTITUTIONAL CAPACITY BUILDING AND TRAINING ......................... 17

D. GENDER EQUITY .............................................................................. 18

E. BIODIVERSITY ................................................................................. 18

F. ENVIRONMENTAL IMPACT AND MONITORING.................................... 18

G. PROTECTION OF INDIVIDUALS AS RESEARCH SUBJECTS ................... 19

H. POLICY ON INTELLECTUAL PROPERTY ............................................... 20

VI. PARTICIPANT TRAINING ...................................................................... 22

A. PROGRAM POLICIES REGARDING TRAINING IN THE U.S. ..................... 24

B. PROGRAM POLICIES REGARDING TRAINING IN A THIRD COUNTRY...... 24

VII. MISSION ENGAGEMENT ...................................................................... 25

VIII. FEDERAL GUIDELINES ...................................................................... 25

A. FEED THE FUTURE ........................................................................... 26

B. AUTHORIZATION OF INTERNATIONAL TRAVEL .................................. 29

C. EQUIPMENT PURCHASES .................................................................. 30

D. BRANDING STRATEGY AND MARKING PLAN ...................................... 31

E. INTERNET USAGE FOR LEGUME INNOVATION LAB PURPOSES ............ 33

F. DATA MANAGEMENT PLANS AND OPEN DATA ACCESS .................... 33

vi

APPENDICES

APPENDIX A: SAMPLE COST-REIMBURSABLE SUB-CONTRACT WITH LEAD U.S.

UNIVERSITIES ....................................................................................... 37 APPENDIX B: PROJECT TECHNICAL DESCRIPTION FORMAT .......................................... 48 APPENDIX C: ANNUAL WORKPLAN FORMAT ............................................................... 55 APPENDIX D: PROJECT BUDGET FORMAT ................................................................... 59 APPENDIX E: REPORTING SEMI-ANNUAL MILESTONES OF PROGRESS EXAMPLE ............ 60 APPENDIX F: ANNUAL TECHNICAL PROGRESS REPORT (FORMAT) ................................ 61 APPENDIX G: PERFORMANCE INDICATORS UNDER FEED THE FUTURE (FTF) ................... 64 APPENDIX H: ANNUAL EXPENSE REPORT TEMPLATE .................................................... 66 APPENDIX I: ENVIRONMENTAL MONITORING AND MITIGATION PLAN TEMPLATE ........... 67 APPENDIX J: INTELLECTUAL PROPERTY DEFINITIONS AND PRINCIPALS ......................... 68 APPENDIX K: TRAINEE INFORMATION FORM ............................................................... 71 APPENDIX L: TRAVEL AUTHORIZATION REQUEST FORM .............................................. 72 APPENDIX M: EQUIPMENT AUTHORIZATION AND REQUEST TO PURCHASE FORM ......... 73 APPENDIX N: DATA MANAGEMENT PLANS ............................................................. 75

1

I. PROGRAM OVERVIEW

The overall goal of the Legume Innovat ion Lab is to alleviate poverty and achieve nutrit ional and food security through sustainable development of dry grain legume value-chains. The technical priorit ies of the Feed the Future Innovat ion Lab on Grain Legumes (here-to-after called the “ Legume Innovat ion Lab” ) are embodied in the follow ing four Global Themes:

A. GLOBAL THEMES OF LEGUME INNOVATION LAB

1. To substant ively and sustainably increase grain legume product ivity by improving adaptat ion to diverse agroecologies and reducing smallholder farmer vulnerability to climate change, w ith special considerat ion for the livelihoods of w omen

2. To improve the nutrit ional quality of diets and to enhance the nutrit ional and health status of the poor, especially w omen and young children, through the consumption of edible grain legume-based foods

3. To improve the nutrit ional quality of diets and to enhance the nutrit ional and health status of the poor, especially w omen and young children, through the consumption of edible grain legume-based foods

4. To improve outcomes of legume research and capacity building projects and to assess impacts to improve decision making regarding future investments

B. OVERVIEW OF THE LEGUME INNOVATION LAB ORGANIZATIONAL

STRUCTURE

2

II. PROGRAM ADMINISTRATIVE STRUCTURE AND FUNCTION

A. MANAGEMENT

Management Entity The Dry Grain Pulses Collaborat ive Research Support Program (CRSP) w as init iated in September 2007 w ith a f ive-year grant from USAID/W to the Management Ent ity (ME), Michigan State University (MSU), w ho is ult imately responsible for the conduct of the grant. In 2013, the USAID Bureau for Food Security extended the program through September 2017, and renamed it “ The Feed the Future Innovat ion Lab for Collaborat ive Research on Grain Legumes” w ith the shortened name of Legume Innovat ion Lab. The Inst itut ional Representat ive of Sponsored Programs Administrat ion (SPA) accepts and signs contracts and amendments on behalf of MSU for USAID/W funds, w ith that acceptance subsequent ly rat if ied by the MSU Board of Trustees. Programmatic responsibilit y rests w ith the College of Agriculture and Natural Resources through the Director of the Center for Global Connect ions (CGC).

Management Office MSU has organized and designated the Management Off ice (MO) as its funct ional arm. The MO, w hich handles all the day-to-day management of the Legume Innovat ion Lab, is staffed by a Program Director, Deputy Director, Administrative/Financial Off icer, Administrat ive Assistant, Communicat ions Specialist , and an Impact Assessment Specialist . This team, represent ing social and biological research management expertise as w ell as strong f inancial-administrat ive competence, w orks closely w ith MSU’s Sponsored Programs Administration in order to ensure that contracts are designed and administered w ithin the rules and regulat ions of MSU as w ell as those of USAID/W. Responsibilit ies of the Management Off ice include, but are not limited to: 1. Establish and manage a portfolio of high quality, innovat ive and integrated research,

training, and outreach projects related to grain legumes (e.g., beans and cow peas) that speak to the needs of the stakeholders, policy makers and development professionals. This entails putt ing in place a competit ively selected project portfolio; establishing sub-agreements w ith part icipat ing inst itut ions; facilitat ing communicat ions w ithin and among projects to promote mult i-disciplinary collaborat ion, maximize synergies and avoid duplicat ion; and being the primary point of contact for USAID for acquiring synthesized information on progress and outputs from Legume Innovat ion Lab act ivit ies.

2. Monitor technical progress and performance of sub-aw ards, prepare annual reports, and

collect success stories of w here outputs contributed to changes in policy, pract ices or developmental impacts, synthesize information to formulate coherent program results and lessons learned, and distribute w idely this information to partners and stakeholders.

3. Fulf ill f inancial management and report ing responsibilit ies to USAID. 4. Develop, implement and act ively part icipate in program level strategies to gain addit ional

support and resources for broader developmental outcomes and impacts. 5. Administer Associate Aw ards received from USAID country and regional Missions and

USAID/Washington. 6. Contribute to the goals of the Feed the Future Innovat ion Labs for Collaborat ive Research

and provide intellectual leadership in a focal area for developmental impact (e.g., health and nutrit ion).

7. Serve as the primary point of contact for USAID and act as an “ on call” advisor and intellectual resource to USAID on substant ive issues and technical assistance services associated w ith grain legumes.

3

Responsibilities of Management Office Staff Program Director: Provides strategic leadership for and oversees day-to-day programmatic and f inancial management of the Legume Innovat ion Lab; monitors the technical aspects of the projects and organizes act ivit ies to facilitate achievement of program goals; administers the RFP process for sub-aw ards; organizes and supervises the Legume Innovat ion Lab MO staff to carry out the funct ions, responsibilit ies, and support of the project; assures compliance w ith USAID and MSU regulat ions and guidelines; represents the Legume Innovat ion Lab in the Innovat ion Lab Council and stakeholder meetings; provides intellectual leadership for one of the USAID focal areas; serves as a primary contact for the USAID AOR, PIs, advisory groups and the legume industry; coordinates and part icipates in advisory group meetings; responds to requests from USAID/W, Missions, and Regional off ices; act ively seeks opportunit ies for and negot iates leveraged Associate aw ards; coordinates implementat ion of research programs w ith U.S. and HC inst itut ions and IARCs; facilitates the establishment of sub-aw ards w ith U.S. and HC inst itut ions; maintains regular communicat ion and interact ion w ith the administrat ive off ices of the ME—CANR Center for Global Connect ions (CGC), Off ice of the Dean of Internat ional Studies and Programs, Sponsored Programs Administrat ion including Off ice of Contract and Grant Administrat ion and Off ice of Sponsored Programs (OSP), etc.; generates professional reports and documents for management advisory groups and USAID/W; and produces scholarly outputs related to the contribut ions of grain legume research and training to development. Program Deputy Director: Serves operat ionally as the secondary administrat ive off icer in line w ith USAID guidelines and MSU regulat ions and procedures; supports the Director; part icipates in all MO staff funct ions; assists in organizat ion of staff responsibilit ies; oversees the MO in the Director’s absence; assists in the administrat ion of competit ion for sub-aw ards; performs administrat ive support funct ions for the Legume Innovat ion Lab training and capacity building efforts; assists the Director in M&E of projects, especially w ith socio-economic research, and w ith the organizat ion of act ivit ies that facilitate overall technical achievement; maintains a trainee database; synthesizes information and prepares Annual Research/Training Reports; accompanies the Director as needed to governance committee and Innovat ion Lab Council meet ings; synthesizes information and prepares annual research/training reports and briefs highlight ing major results and achievements. Administrat ive Off icer: Plans and supervises the f iscal management of the Leader aw ard: maintains computerized f inancial records of all projects; monitors total project costs against obligat ions; monitors cost share and U.S. and HC expenses; prepares f inancial reports (including pipeline and accruals) and presents them to advisory groups; acts as a liaison betw een the MO and USAID’s OAA; monitors compliance w ith USAID grant requirements; maintains f requent communicat ion w ith USAID’s OAA on f iscal matters; develops and maintains the Operat ions and Policy Manual; provides budgetary and compliance support to program subaw ards; organizes and conducts w orkshops for f inancial of f icers as appropriate; develops and processes subagreements and periodic amendments for subaw ards; conducts site visits to resolve f iscal problems and conducts informal internal audits of projects; arranges travel and conference/meeting accommodations for MO organized events; processes MSU travel authorizat ions and requests for reimbursement for domest ic and internat ional t ravel related to MO funct ions; performs f iscal management responsibilit ies for Associate aw ards. Communicat ions Specialist : Develops communication instruments for the Legume Innovation Lab MO. Gathers information and drafts communications; designs and prepares brochures and annual Highlights publicat ions; assists in w rit ing and edit ing of grant proposals, annual w orkplans and technical progress reports, posters, Pow er Point presentat ions, media briefs, newsletters, etc.; develops and maintains Legume Innovation Lab’ s w ebsite;. assists w ith the design, maintenance, and use of program data bases (e.g., Innovation Lab training, publicat ions, and directory); w orks direct ly w ith the Director and Deputy Director to communicate w ith international audiences relat ive to the technical act ivit ies, achievements and developmental impact of the Legume Innovation Lab program.

USAID Agreement Officer’s Representative (AOR)

4

The AOR is responsible for maintaining frequent liaison and direct communicat ions w ith the Management Off ice (recipient). The nature of the relat ionship is for support ing their public purpose and not for obtaining the recipient ' s technical assistance or services for USAID. The responsibilit ies of the AOR for the Legume Innovat ion Lab include:

1. Monitoring. To monitor the recipient ' s technical progress in achieving the object ives of the Program and to verify that the recipient ' s act ivit ies being funded by USAID under the referenced aw ard conform to the terms and condit ions of that aw ard.

2. Cooperat ive Agreement Revisions. To make w ritten recommendations to the AOR w hen any changes to the Program Descript ion, technical provisions, and/or any other terms or condit ions of the aw ard are necessary, along w ith a just if icat ion for the proposed act ion.

3. Substant ial Involvement. To assume those responsibilit ies regarding substant ial

involvement as specif ically delegated to the AOR in the schedule of the Cooperat ive Agreement in the sect ion ent it led " Substant ial Involvement" . This includes part icipat ion and membership w ith vote (but not veto pow er) on the Technical Management Advisory Committee of the Legume Innovat ion Lab and other f inancial oversight responsibilit ies described below :

4. Approval of Internat ional Travel. To approve all requests for internat ional travel by researchers and students traveling across country borders w ith funding from the Legume Innovat ion Lab. The requirement for USAID approval of travel w as included in the FY 2013 modif icat ion to MSU for the Legume Innovat ion Lab.

5. Financial Management. Although the responsibility for making payments and

account ing for funds and balances rests in the Management Bureau Off ice of Financial Management (M/FM), the AOR must administer f inancial management responsibilit ies by:

Ensuring that all funding act ions comply w ith USAID' s forw ard funding guidelines (ADS 602, Forw ard Funding of Program Funds).

Review ing the recipient ' s request for payments or f inancial reports and providing or denying administrat ive approval if required by the procedures in ADS Chapter 630, Payables Management.

Monitoring the f inancial status of the aw ard on a regular basis to ensure that the level of funding is the minimum necessary.

Developing accrued expenditures on a quarterly basis in accordance w ith ADS 631, Accrued Expenditures, and instruct ions from M/FM or the mission controller. Note that this must not be interpreted as Authority for request ing any addit ional f inancial reports from the recipient.

Review ing f inancial status reports for U.S. organizat ions w ith letters of credit to monitor f inancial progress, contact ing the recipient for further explanat ion if quest ions arise regarding the appropriateness of expenditures, and contacting the agreement off icer if not sat isf ied w ith the recipient ' s explanat ion.

Init iat ing a request to the Agreement Off icer (AO) to deobligate funds if at any point it is apparent that the amount of available funds is more than w ill be necessary to complete the cooperat ive agreement act ivit ies (see ADS 621 Obligat ions and Internal Mandatory Reference "Deobligat ion Guidebook" ).

Monitoring recipient compliance w ith the requirement for them to obtain any host country tax exemptions for w hich they are eligible; and

5

Upon complet ion of the w ork under the aw ard, review ing any unliquidated obligat ion balance in the aw ard and w orking w ith the agreement off icer to deobligate excess funds before beginning close-out act ions (see ADS 621: Obligat ions and Internal Mandatory Reference "Deobligat ion Guidebook" ).

B. PROGRAM ADVISORY GROUPS While the MO has delegated authority to make f inal decisions relat ive to the select ion of projects, contractual and f inancial management, program implementation and performance assessment, the MO carefully considers the advice and guidance of the Legume Innovation Lab’ s advisory groups, the TMAC and EAP.

External Advisory Panel (EAP) An EAP may be convened ad-hoc for review of pre-proposals and proposals and consultat ion on the select ion of projects to const itute a quality and coherent portfolio of subaw ards for the Legume Innovat ion Lab. The EAP w ill not be a permanent advisory group for the f ive-year durat ion of the grant, but w ill be convened w hen subaw ards are competed. The composit ion of the EAP w ill consist of 3-5 individuals as just if ied. The EAP w ill be formed w ith input and concurrence from the AOR based on the follow ing criteria: a) no conf licts of interest w ith inst itut ions ident if ied in pre-proposals and proposals for subaw ards; b) expert ise in technical areas relevant to program Thematic Areas; c) know ledge of internat ional agriculture development issues; and d) experience in agriculture research administrat ion.

Technical Management Advisory Committee (TMAC) The Technical Management Advisory Committee is an advisory body that performs both strategic planning and monitoring funct ions. The MO consult s w ith the TMAC on emerging issues and technologies, strategies for building sustainable inst itut ional capacity and achieving development impacts, and on program management approaches. The TMAC assists in the monitoring and evaluat ion of the Legume Innovat ion Lab program, including:

1 Monitoring the scient if ic quality and product ivity of projects and recommending technical adjustments

2 Review ing annual project w orkplans and budgets 3 Assessment of annual project technical progress, achievement of annual performance

indicators and milestones 4 Advising on strategies for achievement of developmental outcomes 5 Ident ifying potent ial research priorit ies and foci for future subaw ards

The TMAC plays an especially important role at crit ical t imes during the program w hen subcontracted projects need to be evaluated for performance and cont inued relevance and decisions made regarding possible extensions. The MO w ill solicit recommendations from the TMAC regarding subcontracted projects at such crit ical t imes (e.g., t ransit ions betw een phases, f ive-year extension of Legume Innovat ion Lab program). The TMAC comprises ten members: 1) three external scient ists of internat ional stature; 2) one industry representat ive; 3) tw o representat ives from the CGIAR (one from Consort ium Research Program (CRP) on Grain Legumes and another from CIAT, IITA, or other relevant Internat ional Agricultural Research Center (IARC)); 4) three Legume Innovat ion Lab PIs including at least one from a HC, and 5) the AOR (w ho w ill have a vote). The TMAC w ill be formed after the subaw ards are selected and partner inst itut ions ident if ied. The f ive non-Legume Innovat ion Lab external members w ill be appointed by the MO in consultat ion w ith the AOR for the f ive-year durat ion of the Leader aw ard based on their qualif icat ions and experience. The three internal members (Legume Innovat ion Lab PIs) w ill be elected by the PIs for staggered tw o-year terms of service. The TMAC w ill hold annual face-to-face meetings over the f ive-year period, but is expected to conduct most of its business through conference calls and electronic communicat ion. The Chair and Vice-Chair of the TMAC w ill be elected annually by the membership.

6

Institutional Representatives (IRs) The U.S. and HC universit ies/inst itut ions part icipat ing in this Innovat ion Lab w ill each designate an IR to represent them in the conduct of the Innovat ion Lab. The IRs are selected by the administrat ion of each Lead university in the Legume Innovat ion Lab based on their administrat ive responsibilit ies, typically Deans or Directors, and their relevant expert ise. Each IR is the administrat ive resource for the team on his/her campus and the inst itut ions focal point for the MO on policy and personnel matters. IRs are valuable to the successful governance of the Legume Innovat ion Lab. III. PROGRAM IMPLEMENTATION

A. TECHNICAL PROGRAM FOR 2013-2017 The Legume Innovat ion Lab for FY 2013–2017 includes tw o categories of projects to be subcontracted: (1) seven Phase II or III Pulse CRSP projects to be extended w ith signif icant technical refocusing, and (2) up to three new projects to be openly competed and aw arded. The follow ing describes the processes to be follow ed for subcontract ing and implementing these tw o groups of projects. For the seven cont inuing projects ident if ied by the TMAC, MO and AOR for extension into the Legume Innovat ion Lab period (April 1, 2013 – September 28, 2017), the lead PIs w ill be required to convene team planning meetings at the onset of the Legume Innovat ion Lab 4.5 -year extension for many of the same reasons as new projects. It is important to recognize that all the cont inuing projects ref lect refocusing of technical object ives, many involve new HC and U.S. collaborat ing scient ists and partner inst itut ions, and all involve a redirect ion of technical ef forts tow ard priority FTF cropping systems, countries, or regions. The MO and TMAC w ill provide guidance to each project ’s lead PI(s) based upon a review of the prospectuses in advance of the project team meetings. At these meetings, the project teams w ill be asked to prepare detailed Technical Project Descript ions, FY13–14 w orkplans, and budgets. Technical Project Descript ions and w orkplans w ill be review ed by the TMAC and MO before subcontracts for project extensions are aw arded by MSU to the lead U.S. universit ies, and the MO and TMAC reserve the possibility of creat ing tw o separate projects out of a single combined one. The expectat ion is that all this can be completed w ithin the f irst three to four months after USAID f inalizes its contract w ith MSU for a program extension. As FTF holds the Legume Innovat ion Lab accountable for developmental outcomes result ing from the products of research (e.g., technologies, management pract ices, know ledge), there is an expectat ion that the Legume Innovat ion Lab w ill contribute to measurable impacts on stakeholders of pulse value-chains in target countries. To this end, the Management Off ice w ill support a cont inued project on impact assessment, in addit ion to the other seven cont inuing projects. Specif ic funct ions of this project w ill include: (1) ex-ante impact assessment to advise the MO in sett ing research priorit ies and making research and capacity building investments w ith high potent ial for return; (2) assist ing subcontracted research projects to def ine impact pathw ays; and (3) ex-post assessment of impacts of technologies result ing from the Bean/Cow pea CRSP, Dry Grain Pulses CRSP, and the Legume Innovat ion Lab. These seven extended projects and any projects split of f f rom them w ill be evaluated at approximately mid-term (early in the year 2015) for possible modif icat ions to their w orkplans, including possible reductions or expansions of funding for FY2016 and FY2017. Project leaders w ill receive the necessary feedback prior to designing their FY2016 w orkplans. For new projects for FY 2104-2017, the MO w ill issue a Request for Pre-Proposals to be distributed w idely to US Universit ies ut ilizing various netw orks (APLU, Innovat ion Lab Council etc.). The RPP w ill identify the technical domains, just if icat ions, and the general research object ives and methods/approaches for new projects RFPs based on funding, any increases in program authorizat ion, emerging research priorit ies and opportunit ies, or f rom technical gaps due to discont inuat ion of individual subcontracted projects due to non-performance issues. The number and amount of the aw ards w ill depend upon the availability of funds and projected future obligat ions from USAID to the Legume Innovat ion Lab. All pre-proposals received by the Management Off ice w ithin the deadline indicated on the Request for pre-proposals w ill be sent

7

out for peer review by expert scient ists w ithout conf licts of interest , thus forming an ad hoc External Advisory Panel. The TMAC and AOR may be consulted if considered necessary. A limited number of pre-proposals w ill be selected to compete w ith full proposals, w ith a similar review process implemented for recommendations from external experts w ith conf licts of interest. The recommendations on funding of proposals w ill be considered by the MO and the AOR w hen decisions of funding of new projects through the Legume Innovat ion Lab are made. Funding w ill be made available for an init ial 24 to 30 month period, w ith extension provided for 24 months, provided performance is acceptable, based on program reporting documents and evaluat ions.

B. CONTRACTUAL FRAMEWORK FOR PROGRAM The contract f rom USAID/W to Michigan State University, Grant No. EDH-A-00-07-00005-00, effect ive September 30, 2007 through September 29, 2012, funds the Legume Innovat ion Lab at $9,000,000. The authorizat ion ceiling for the Legume Innovat ion Lab aw ard to MSU w as increased by USAID in July 2009 to $14,014,000 w hich necessitated the submission of modif ied Technical and Cost Applicat ions. In 2012, modif ied technical and cost applicat ions w ere submitted and approved for an addit ional $24,500,000 for the period April 1, 2013 – September 29, 2017. The aw ard contract must adhere to the Standard Provisions for U.S. Non-governmental Recipients and other documents as guiding authorit ies for the Legume Innovat ion Lab’s implementat ion and operat ion. For each aw ard, Project Technical and Cost Applicat ions, Cost -Reimbursable Subagreements w ith Lead U.S. universit ies, Project Workplans and Budgets, Letters of Willingness to Partner by Host Country Inst itut ions, and Fixed-Price Contracts w ith Host Country inst itut ions are the instruments for def ining relat ionships among part icipant universit ies/inst itut ions.

U.S. Lead University As in the past, part icipating U.S. Lead Universit ies are selected on the basis of an open competit ion. In response to an RFP issued by the MO, candidate universit ies submit proposals for projects to the Management Off ice. Follow ing external review by mult iple peer scient ists w ithout conf licts of interest ut ilizing clear object ive evaluat ive criteria, the Management Off ice w ill receive and consider the strengths and w eaknesses of each project and the potent ial to achieve specif ic programmatic object ives. In certain cases, it may be necessary for the MO to invite the resubmission of a revised proposal f rom a candidate university. A resubmission of a revised proposal w ould afford an opportunity to respond to review er and/or MO requests for changes in technical approach, host countries and/or in collaborat ing HC inst itut ions. In consultat ions betw een the Management Off ice and the USAID AOR for the Legume Innovat ion Lab, projects w ill be selected for subcontract ing. A U.S. “ Lead” university w ill be responsible for sub-subcontract ing one or more act ivit ies w ith both U.S. inst itut ions/organizat ions (e.g., universit ies, private research labs, etc.) and host country inst itut ions (e.g., Nat ional Agriculture Research Systems, IARCs, NGOs, etc.) for an individual Legume Innovat ion Lab project. A cost-reimbursable contract def ines the subcontractual relat ionship betw een a U.S. “ Lead” university w ith the Management Ent ity (ME), Michigan State University (MSU). A Fixed-price sub-subcontract is the most common sub-subcontractual mechanism used betw een a Lead U.S. University and a collaborat ing Host Country inst itut ion in a Legume Innovat ion Lab project .

Host Country Institution Part icipat ing Host Country (HC) Inst itut ions are ident if ied on the basis of their expert ise, their w illingness to engage in collaborat ive research, training and outreach act ivit ies as out lined in the Technical Applicat ion, their inst itut ional need for enhanced capacity in strategic areas of agricultural science, and their potent ial role in enabling the Legume Innovat ion Lab to achieve Feed the Future object ives. A Host Country Inst itut ion may be a Nat ional Agriculture Research System (NARS), a research intensive agricultural university, a Non-Governmental Organizat ion (NGO), an Internat ional Agriculture Research Center (IARC) or a private industry that can contribute to the research, technology disseminat ion or training act ivit ies in a host country. A HC Inst itut ion may receive

8

one or more sub-subcontracts from U.S. Lead universit ies to part icipate in Legume Innovat ion Lab projects, and be responsible for implementing one or more act ivit ies w ithin each sub-subcontracted project . As indicated above, Fixed Price Contracts are the recommended subcontract ing mechanism betw een a U.S. Lead University (or the ME, in lieu of the Lead University) and Host Country Inst itut ion.

Letter of HC Institution Willingness to Partner A “ Letter of Willingness to Partner” in the Legume Innovat ion Lab must be submitted by all Host Country inst itut ions w hich w ill be act ively part icipat ing in aw arded projects and receiving f inancial support . This let ter w ill be in lieu of the establishment of Memorandum of Understanding betw een the Host Country inst itutions and the Management Ent ity for the Legume Innovat ion Lab, Michigan State University. These let ters should indicate an inst itut ional commitment to partner w ith a specif ied “ Lead” U.S. university, to receive Legume Innovat ion Lab support , and to commit research staff and faculty to engage in collaborat ive research, training and outreach act ivit ies specif ied in the Technical Applicat ion and subsequent w orkplans. The “ Letters of Willingness to Partner” w ill be attached as appendices to the aw ard subcontract to the appropriate Lead University.

C. CONTRACTUAL MECHANISMS FOR SUBAWARDS

Subagreements between ME and Lead U.S. Institutions MSU w ill establish Cost Reimbursable Subcontracts w ith Lead U.S. Universit ies for individual projects to be funded under the Legume Innovat ion Lab (Appendix A). Subagreements w ill obligate funds and pass certain authority and responsibility f rom the ME to the U.S. Lead Inst itut ions. Subagreement appendices include such documents as the applicable USAID Standard Provisions, Project Technical Applicat ion, Workplans and Budgets, Host Country Letters of Willingness to Partner, Guidance on USAID-Funded Communications Products, Expense Report ing Forms, Travel Authorizat ion Forms, Request Forms for Equipment Purchases, and Forms for report ing Milestones of Progress and Performance Indicators to be completed and submitted at designated report ing t ime periods. Appendices are binding in-as-much as they are appended to and made part of the subagreement signed by the appropriate contract off icials at the U.S. Lead Inst itut ion and Michigan State University.

Fixed Price Contracts between U.S. Lead and Host Country Institutions A Fixed Price Contract w ill def ine the relat ionship betw een a Host Country inst itut ion and either the collaborat ing Lead U.S. University or the ME, MSU, in the Legume Innovat ion Lab. If a U.S. Lead University cannot administer “ f ixed price” contracts w ith a HC inst itut ion, then the ME may take up the f inancial management responsibilit ies for sub-aw ards w ith Host Country inst itut ions through a f ixed price agreement w ith that HC inst itut ion w hile retaining technical oversight and report ing responsibilit ies w ith the respect ive Lead U.S. university. Fixed Price Contracts must specify certain minimum guidelines established by the MO plus include a schedule of payments of obligated funds upon receipt of the specif ied deliverables. Table 1 provides an illustrat ive example of how payments might be scheduled.

9

Table 1 Illustrat ive example of Schedule of Payments for Fixed Price Contract

Deliverable Payment Tentative time frame Approved Annual Workplan Specif ied % of total

contractual amount for f iscal year

Once the contract has been established

First report on indicators of progress

Specif ied % total contractual amount for f iscal year

A mid-point to be determined by the Lead

Second report on indicators of progress

Remainder of the total contractual amount for f iscal year

A mid-point or end of f iscal year to be determined by the Lead

As collaborat ing HC Inst itut ions are bound by the majority of the terms of USAID’s contract w ith the ME for the Legume Innovat ion Lab and sub-agreements to the U.S. Lead University (Inst itut ion), copies of applicable contractual documents (including appendices) should be provided to HC administrators, along w ith the Fixed Price Contract(s), for reference purposes. Copies of all “ Fixed price” contracts betw een a Lead U.S. University and a HC inst itut ion must be submitted to the MO w ithin 30 days of the signing of such a sub-contract.

D. PERFORMANCE MONITORING AND ASSESSMENT The TMAC w ill be the principal advisory group responsible for regular monitoring and assessment of technical progress and for advising the MO on technical and budgetary matters. The Program Director and Deputy Director are committed to maintaining act ive interact ions w ith U.S. and HC PIs. Through visits to part icipant HC and U.S. inst itut ions, they w ill gain insights into the conduct of projects, and be able to address performance issues. Key instruments/mechanisms that the MO w ill use to monitor and assess program performance include: 1) Project Technical Applicat ions; 2) Annual Work Plans; 3) Semi-annual Milestones of Progress (formerly know n as Benchmark Indicators of Progress); 4) Annual Technical Progress Reports; 5) Target Performance Indicators established for each project to contribute to Feed the Future agriculture development object ives; and 6) Project site visits. The f irst f ive of these key instruments are elaborated below . The MO w ill collect and compile the necessary program report ing documents from these instruments (and a Final Technical Report) for all sub-contracted projects and submit them to USAID as required in the contract w ith the ME. The Legume Innovat ion Lab MO ut ilizes its w eb page to provide public access to subcontracted project Workplans and Technical Progress Reports.

Project Technical Applications Project Technical Applicat ions establish the just if icat ion, object ives, collaborat ing partners, technical approach, training plan, expected outputs, impact pathw ay, and target outcomes, etc. for the research, technology disseminat ion and capacity building projects aw arded (see Appendix B for Guidelines on Project Technical Descript ions). An approved Technical Applicat ion is developed for each mult i-year project under the Legume Innovat ion Lab. The Technical Applicat ion becomes an integral part of the sub-contract aw arded by the ME to a “ Lead” university. The Technical Applicat ions are in many w ays similar to that of proposals submitted in response to RFPs, except that they ref lect negot iated changes in response to peer review s and adherence to technical expectat ions of the MO and USAID to achieve global goals of the Legume Innovat ion Lab.

Annual Workplans U.S. and HC partner inst itut ions to be involved in the Legume Innovat ion Lab w ill be sub-contracted to implement projects. Principal Invest igators (PIs) and collaborators at these inst itut ions w ill be responsible to plan, execute, supervise and report on all act ivit ies for their subaw arded projects. PIs w ill be accountable for the successful complet ion of research,

10

t raining and outreach activit ies and contribut ions to the achievement of global program object ives as out lined in the project Workplans. Annual Workplans and Budgets must be prepared and submitted to the MO approximately four months in advance of each f iscal year (typically by June 1) or the start of a project ’s obligat ion period (see Appendices C and D). Workplans not only serve as a project implementat ion plan for an obligat ion period, but also provide direct ion (a road map) of w hat needs to occur in order for the project to achieve its technical and training object ives (to be ref lected in the semi-annual Milestones of Progress), target outputs (e.g., technologies, policy strategies, management pract ices, and know ledge) and a plan for achievement of developmental outcomes (e.g., the external use, adopt ion, or inf luence of the project outputs by partners, stakeholders and clients) and impacts (i.e., the longer range social, environmental and economic benef its that are consistent w ith USAID goals and the Legume Innovat ion Lab’s mission and object ives). The Workplans also out line the division of responsibilit ies among U.S. and HC collaborators and a mechanism to ensure accountability for partners in the implementat ion of projects. Specif ically, project annual w orkplans def ine the object ives, specif ic approaches and methodologies to be follow ed in implementing research, outreach and inst itut ional capacity building act ivit ies, a t imeline of act ivit ies during a f iscal year, target outputs, outcomes and impacts of project, plan for engagement of USAID f ield missions, netw orking act ivit ies w ith stakeholders and plans of project teams to leverage addit ional funds from other sources. Appendices to each contract w ill contain Workplan Formats to be follow ed by project teams. Workplans w ill include the Budgets, Semi-Annual Milestones of Progress and Performance Indicators for FTF, as detailed in the Appendices of contracts and amendments.

Semi-Annual Milestones of Progress All act ivit ies to be supported by the Legume Innovat ion Lab w ill include, as part of their Annual Workplan, a list of “ Semi-Annual Milestones of Progress” indicat ing period for complet ion of the milestone and inst itut ions responsible (see Appendix E). These milestones are to be achieved at the ident if ied mid-points during the annual implementat ion of project w orkplans (typically October 1 and April 1). The “ Lead” U.S. inst itut ion w ill be responsible for obtaining a “Report on Semi-Annual Milestones of Progress” f rom each sub-subcontracted inst itut ion every six months w hich must be submitted to the MO typically by October 1 and April 1 (see the template in Appendix E). This Report w ill be used to monitor progress and assess performance tow ards achievement of each object ive as def ined by the project team. Failure to submit a semi-annual indicators report and provide evidence of sat isfactory progress (w ith acceptable just if icat ion for lack of complet ion of specif ied act ivit ies) tow ards the achievement of established technical benchmarks w ill be view ed as an indicator of contract “ non-performance” . The result of “ non-performance” by a subcontracted inst itut ion w ill likely be delays in scheduled payments to that inst itut ion or a terminat ion of the contract .

Annual Technical Progress Reports At the end of each f iscal year, projects w ill be required to report on the progress and achievement of project object ives and output targets established in the w orkplans (Appendix F). Success in achieving output targets and documentat ion of outcomes w ill be used as indicators for monitoring project progress in the research-to-impact pathw ay. The annual technical progress reports w ill also be used to assess the likelihood of research generated outputs (know ledge, technologies and recommendations) being adopted by end-users, and leading to developmental impact. A goal of the Legume Innovat ion Lab is to extend project outputs broadly w ithin and across regions so as to maximize benef its to the w idest possible audience. Annual technical progress reports w ill provide a basis for assessment of scient if ic quality, technical progress tow ard object ives, ef fect iveness in the use of funds, collaborat ion w ith both Innovat ion Labs and other programs, leveraging of addit ional resources, and effect iveness in the disseminat ion of outputs to end-users to achieve intended outcomes. Of part icular importance w ill be evaluat ive feedback to PIs from the MO and TMAC regarding project performance during the past year and recommendations regarding future act ivit ies to improve technical progress tow ard output object ives. This information w ill enable PIs to better

11

understand program expectat ions and provide opportunity for intervent ions and mid-course adjustments to ensure success in achievement of program goals. Formats to be follow ed by project teams to prepare the Annual Technical Progress Reports for research, degree training and short -term training act ivit ies can be found in Appendix F. Annual Technical Progress Reports for individual projects should be submitted by the Lead U.S. PI on behalf of the project to the MO w ithin one month after the end a f iscal year. The MO typically requests Technical Progress Reports by November 1.

Feed the Future Performance Indicators The performance of all subcontracted projects supported by the Legume Innovat ion Lab are tracked using “ Performance Indicators” established by USAID under Feed the Future (FTF) (see Appendix G). The tracking process involves sett ing annual quant itat ive “ Target” Performance Indicators for each project against selected FTF indicators (determined by USAID to be appropriate for the Legume Innovat ion Lab). The “ Targets” for the next tw o years are est imated (or modif ied) prior to the start of each f iscal year, typically w hen the w orkplan is being prepared. During the course of an annual project implementat ion period, PIs are expected to monitor and document act ivit ies and technical outputs and outcomes so as to be able to report on “ Actual” Performance Indicators achieved by the Legume Innovat ion Lab project during a performance period. This is therefore an annual exercise. Subcontracted Lead U.S. inst itut ions w ill be held accountable for the collect ion of quant itat ive data that complies w ith USAID def init ions for the performance indicators, and for the submission of quant itat ive data that is reliable and can be defended. As part of the Annual Technical Progress Report ing for a project , the Lead U.S. PI w ill collect the “ Actual” numbers against the previously established “ Target” Performance Indicators and submit an FTF Performance Indicator Report to the Management Off ice. The deadline for submission of Actual Performance Indicator data for a f iscal year is October 1. These data w ill be compiled by the MO into a single quant itat ive Fiscal Year FTF Performance Indicator Report for the Legume Innovat ion Lab and submitted to USAID (typically in early November) as required by USAID’s contract w ith the ME. If Actual numbers deviate more than 10% from the Targets (both under and over), project PIs are required by the MO and USAID to submit a just if icat ion. In cases w here an act ivity has generated a signif icant research, disseminat ion or capacity building achievement (output or outcome) during a part icular f iscal year that cannot be captured using the predetermined performance indicators, PIs are encouraged to provide brief narrat ives describing that /those achievement(s). These Legume Innovat ion Lab achievements w ill also be presented to USAID as evidence of program performance during a part icular f iscal year.

E. PROCEDURES FOR CHANGE Approval f rom the Management Off ice is required w henever there is a substant ive change in a project as out lined in the Technical Applicat ion and the associated annual Workplans for a specif ic obligat ion period. Substant ive changes include:

Modif icat ion, addit ion or eliminat ion of project object ives.

Signif icant changes in the approaches and methods to be ut ilized in the achievement of a project object ive.

Eliminat ion, addit ion or subst itut ion of U.S, or HC collaborat ing inst itut ions and Principal Invest igators

Redistribut ion of funding betw een partner HC inst itut ions or betw een U.S. and HC inst itut ions.

The process for obtaining approval/authorizat ion for a change is as follow s:

12

1. The Lead U.S. PI of a project should submit a w rit ten request to the MO w ith the follow ing information. Description of the proposed change Justification for the proposed change Implications of the proposed change as it relates to achievement of project goals and

budgets

2. When requested changes have potent ial to limit achievement of project goals and product ivity, the MO w ill consult w ith the USAID AOR and may seek advice from the Technical Management Advisory Committee.

3. The MO w ill not ify the PI in w rit ing w hether or not the proposed change is approved.

Revised Workplans and Budgets w hich ref lect the approved changes may be requested by the MO before any addit ional funds are obligated.

Change of Principle Investigators When a U.S. or HC Principal Invest igator (PI) terminates his/her role w ithin a subcontracted Legume Innovat ion Lab Project, the MO must be not if ied immediately by the Lead U.S. University. If necessary, the MO w ill w ork w ith the Lead University and the appropriate Inst itut ional Representat ive to ident ify an acceptable act ing U.S. or HC PI to cont inue the project on an interim basis. If a PI decides to accept a posit ion w ith another university, the Legume Innovat ion Lab project w ill not follow the individual but w ill remain w ith the subcontracted U.S. or HC inst itut ion. Within a maximum of three months from the init ial terminat ion, the Lead University in a project must submit in w rit ing to the MO 1) a recommendation for appointment of a new PI, and 2) a plan to enable complet ion of the subcontracted project as out lined w ithin the Technical Applicat ion and corresponding w orkplans. The MO w ill consult w ith the USAID AOR and possibly w ith the TMAC in making a decision regarding the acceptability of the recommended PI and w hether the project should cont inue.

Change in Budgets Since Budgets are integrally linked to w orkplans during an obligat ion period and budgetary changes require formal amendments to subcontracts, the MO highly discourages the submission of requests for budgetary changes that involve shifts in funds among part icipat ing inst itut ions in a project. Requests for changes w ill only be considered in extreme situat ions such as 1) non-performance by a partner inst itut ion, 2) the discont inuat ion of a collaborat ive act ivity by an inst itut ion due to the departure of a crit ical PI, and/or 3) failure of a trainee to gain admission to a graduate degree program at a particular inst itut ion. Requests for budgetary changes must be submitted by the Lead University to the MO w ith a w rit ten request and just if icat ion for the change along w ith a revised budget (w ith appropriate inst itut ional signatures) for the part icular obligat ion period. Changes in expenditures among lines w ithin the budget for an individual subcontracted inst itut ion do not typically require formal MO approval. The except ions to this policy that require MO approval include the follow ing: 1) shif ts in funding from training to research or outreach act ivit ies and 2) shifts in funding from “ U.S. for HC” to “ U.S.” IV. FINANCIAL MANAGEMENT

A. ANNUAL BUDGETS Content and Format of Annual Budgets The annual budgets should contain the follow ing tw o components: 1) Budget spreadsheet and

13

2) Budget Narrat ive. 1. Budget Spreadsheet A detailed budget must be submitted for each obligat ion period using the template spreadsheet provided (Appendix D). Budget spreadsheets in Excel format are available for dow nloading from the Legume Innovat ion Lab w ebsite at w w w .legumelab.msu.edu/. The Budget template consists of a Summary tab and one tab for each period of funding. 2. Budget Narrative The budget narrat ive should include an explanat ion and just if icat ion for each line item (a to j) appearing in the Budget plus a descript ion of the follow ing budget components.

Split betw een U.S. and HC inst itut ions in total direct costs.

Breakdow n in cost share contribut ions (in-kind & cash) by the U.S. and Host Country inst itut ions.

Total budgetary attribut ion to inst itut ional capacity building. 3. Instructions for Completing Budget Spreadsheet Templates Budget information should be entered into the appropriate “ open” cells (NOT in the shaded cells) of the budget spreadsheet. The lighter shaded cells w ill show calculated amounts based upon the input provided. Begin by entering the follow ing information in Tab 1 (f irst period).

Project Title: Type the t it le of the project in the space provided in Tab 1 only. The t it le w ill then automatically appear in the other tabs including the Summary.

Institution Name: Type in the names of the U.S. (the “ Lead” university) and collaborat ing Host Country inst itut ions in appropriate columns on Tab 1 only. The entered inst itut ional names w ill then automatically appear in the columns of other Tabs and Summary. Use abbreviated inst itut ional names as space is limited. The “ U.S. for Host Country” column is for the costs to be incurred by the Lead U.S. university on behalf of (in direct benef it to) the Host Country inst itut ion(s). Indirect cost charges are allow able for such expenses. Typical examples w ould be the cost of degree training of a host country student at a U.S. university or the purchase of supplies and equipment in the US to be shipped to the host country. For budget lines “ a through i,” enter the amounts under the respect ive columns for each funding period according to the follow ing guidelines.

a. Personnel Cost Include salary and fringe benef its for PIs and research associates to be paid through the Legume Innovat ion Lab project. Part ial support of U.S. PI salary is allow able but should not exceed 0.25 FTE (equivalent to three months of salary) annually. Project funds cannot be used to support clerical and administrat ive staff .

b. Travel Include est imated travel expenses related to the conduct of research and training

act ivit ies for both U.S. and Host Country personnel. Note that all air-t ravel must be in accordance w ith the “ Fly America Act” and the air t ransport agreements know n as the “ Open Skies Agreements.” More information can be found at http://w w w .gsa.gov/portal/content/103191 .

c. Equipment Include budget for equipment required for the conduct of research act ivit ies and/or

contribut ing to the capacity of the Host Country inst itut ion. Equipment is def ined as individual items that cost $5000 or more. Please use the USAID “ Eligibility Rules for Goods and Services (April 1998)” as the guideline for budget ing this line item . Such equipment is subject to USAID disposit ion requirements at the end of the project (see (22 CFR 226.34,

ht tp://edocket.access.gpo.gov/cfr_2007/aprqtr/pdf/22cfr226.34.pdf ).

14

d. Supplies Include budget for items such as off ice supplies, chemicals and laboratory supplies

required for the conduct of research and training act ivit ies. Supplies are def ined as those of items cost ing less than $5000 per unit and used in the conduct of day-to-day research, training, and outreach act ivit ies. Supplies also include communicat ion costs such as computers, telephones, Internet service, etc.

e. Training Annual budget should include itemized support for degree and non-degree (short-term)

t raining at U.S. universit ies, Host country universit ies and/or “ advanced” inst itut ions of higher learning around the w orld. All t rainees that come to the U.S. must be in compliance w ith USAID guidelines for Part icipant Training (ADS 253).

f. Other

Appropriate budgetary items for this line include professional services contracts, consultants, etc. Please provide just if icat ion for budgeted amounts under this category in the Budget Narrat ive.

h. Indirect Cost Enter the indirect cost amount for each inst itut ion in the respect ive column. In the

Budget Narrat ive, indicate the negot iated indirect cost rates for U.S. (NICRA) and Host Country inst itut ions, and how the total indirect costs w ere calculated. Note that budgeted amounts for Equipment (items cost ing > $5,000) and “ part icipant training” as def ined in ADS 253 are generally exempt from inst itut ional indirect costs. PIs should consult w ith their inst itut ion’s off ices of Contract and Grant Administrat ion or of Sponsored Programs for guidance on the budget ing of indirect costs.

i. Indirect cost on sub-subcontracts

Enter the amount for inst itut ional indirect cost to be charged by the Lead U.S. inst itut ion on individual sub-subcontracts w ith Host Country or collaborat ing U.S. inst itut ions under this project. This usually includes indirect costs on the f irst $25,000 of any sub-subcontracted project. In the budget narrat ive, provide an explanat ion of how these indirect costs w ere calculated and give the U.S. inst itut ion’s established NICRA (Negot iated Indirect Cost Rate Agreement). Consult w ith your inst itut ion’s off ices of Contract and Grant Administrat ion or of Sponsored Projects for guidance on the budget ing of indirect costs on sub-subcontracts. Please be aw are of the Legume Innovat ion Lab policy that all sub-contracts w ith Host Country inst itut ions for the implementat ion of research, training and outreach act ivit ies must be “ Fixed-Price Contracts.” If a Lead U.S. university on a Legume Innovat ion Lab project is unable to issue Fixed-Price Contracts under the terms specif ied by the Management Ent ity, then the Lead Inst itut ion should relinquish its responsibility to Michigan State University for the administrat ion of subcontracts to Host Country Inst itut ions. A statement must be included in the Budget Narrat ive request ing this transfer of contractual responsibility. In such cases w here the Management Ent ity w ill administer subcontracts w ith HC inst itut ions, the 26% NICRA (2007) of Michigan State University for pass-through funds to foreign inst itut ions should be charged and entered on the “ Indirect Cost on Subcontracts” row for the respect ive Host Country Inst itut ion(s). This amount w ill then be deducted and retained by the ME to cover subcontract administrat ive costs. Decisions on w hether to establish contractual relat ionships w ith Host Country inst itut ions collaborat ing in Legume Innovat ion Lab projects should be made by the Lead University’s administrat ion and thus should be consulted on this matter.

4. Instructions for Providing Other Budgetary Information Total direct cost budgeted for U.S. institution(s) Add the “ direct costs” budgeted under U.S. inst itut ion(s) (a – e) and enter the total amount in Column “ f .”

Total direct cost budgeted for HC institution(s) Add the “ direct costs” budgeted under each HC inst itut ion(s) and under “ U.S. for Host

15

Country” (a – e) and enter the total amount in Column “ f .”

Note: The percentage split betw een U.S. and HC in total direct costs w ill be automatically calculated. A minimum of 50% of the direct funds (over the 30-month period) must be expended in or on behalf of the Host Country Inst itut ions part icipat ing in this Innovat ion Lab.

Cost Share Provide accurate est imates of inst itut ional cost share for each U.S. inst itut ion budgeted. The Legume Innovat ion Lab requires that each research project provide cash or in-kind contribut ions (cost share) on funds received according to the follow ing guidelines:

Lead U.S. universit ies must provide U.S. non-federal cost share as def ined by the USAID reference document for cost-share -- 22CFR 226.23.

The cost-share requirement for each project is at minimum 15% of the total U.S. direct costs. U.S. costs include total direct costs budgeted for personnel (staff salaries and fringes, labor cost, consultants), supplies, equipment, t ravel and non-part icipant training in the U.S. or at a non-HC institut ion outside the U.S. (e.g., IARCs).

Lead U.S. universit ies are not required to provide a 15 percent cost share for direct project funds aw arded in support of research act ivit ies of USDA/ARS scient ists w ith adjunct appointments. (Just if icat ion: USDA/ARS scient ists are unable to match federal funds w ith federal funds placing undue hardship on the subcontracted lead U.S. university.)

Host Country inst itut ions are encouraged to also cost-share on Legume Innovat ion Lab project expenses as evidence of inst itut ional commitment and support for the program, how ever this is not auditable. Please be reminded that Host Country cost share does NOT contribute to meeting the 15% U.S. inst itut ional cost-share requirement.

Attribution to Capacity Building Provide an est imate of the percentage of project ef fort , budgeted for each inst itut ion that contributes to Host Country “ Capacity Building” . Enter a percentage under each column as a number betw een 0-100. Name of PI & Institutional Affiliation After the colon, type in the name of the Lead U.S. PI and his/her inst itut ional aff iliat ion on Tab 1 only. (This information w ill automatically be copied to other tabs).

Authorized Lead U.S. Institutional Representative Provide the name and contact information (email and phone number) of the authorized representat ive from the Lead University on the Legume Innovat ion Lab project that review ed and approved the annual budget submitted. This individual is typically a designated person w ithin the Off ice of Contract and Grant Administrat ion or Off ice of Sponsored Programs at U.S. universit ies.

Questions regarding annual budgets Direct all quest ions in w rit ing regarding the complet ion of annual budgets to the Administrat ive/Financial Off icer of the Legume Innovat ion Lab.

B. FINANCIAL REPORTS The subcontract w ith the Lead U.S Inst itut ion is a “ Cost Reimbursable Contract” . Therefore the Lead U.S Inst itut ion must submit an invoice to the MO request ing reimbursement of allow able expenses that it has incurred. Each invoice must indicate the period that the invoice covers. Invoices for reimbursement can be submitted monthly, but must be submitted to the MO no less frequent than on a calendar-quarterly basis and w ithin 30 days follow ing the end of each quarter. The invoice submitted at the end of each calendar-quarter shall be supported by an original and tw o copies of a cert if ied “Expense Report”. An Expense Report template in Excel format is available for dow nloading from the Legume Innovat ion Lab w ebsite at

16

w w w .legumelab.msu.edu/. It is encouraged that the Lead U.S Inst itut ion submits an expense report w ith each invoice that is submitted to the MO. The invoice and cert if ied expense reports must be submitted to:

Legume Innovat ion Lab Attn: Administrat ive/Financial Off icer Morrill Hall of Agriculture 446 West Circle Drive, Rm 321 East Lansing, MI 48824-1039

Instructions for Completing the Expense Report Spreadsheet Templates Each project w ill have a specif ic expense report ing MS Excel Workbook made available by the MO. Information for the expense report should be entered into the appropriate “ open” cells (NOT in the shaded cells) of the expense report w orkbook (a completed for a f ict it ious inst itut ion can be found in Appendix H). Detailed instruct ions are available on the Instructions sheet of the Workbook. Note that the “ US for Host Country” expenses as w ell as the expenditures on Fixed price contracts w ith Host Country inst itut ions are reported in the columns “ Expenditures for Host Country.” Concerning cost share, since this Expense Report w as developed for projects under " The Legume Innovat ion Lab" for Fiscal Years 2013 - 2017, the cost share commitments are to be calculated and reported for this f ive-year period only. Please be reminded that the minimum cost share commitment amount is calculated based on 15% of direct costs for U.S. expenditures. As reported cost share amounts are auditable, please make sure that your inst itut ion has documentat ion to back up your commitment amounts. Cost Share commitment can be reported incrementally throughout the life of the project or as a lump sum amount at the end of the project. It is best though to report for the period that it w as provided. Inst itut ions have line-item f lexibility, how ever, if project expenditures deviate more than 10% from the amounts budgeted, a subcontracted inst itut ion should inform the Management Off ice of the Legume Innovat ion Lab. Please be reminded how ever that all equipment purchases (those items cost ing $5000 or more) require USAID authorizat ion and that no funds can be moved from training or from a host country inst itut ion budgets w ithout Management Off ice approval. See the Instruct ions page on the Expense Form Workbook for more detailed information. Please make sure to alw ays include an expense report w ith an invoice and requests for reimbursement. Payments w ill only be processed by Michigan State University w hen provided w ith the appropriate required documentat ion.

C. POLICY ON ALLOWABLE CARRY FORWARD Any subcontracted Lead U.S. university w ith a balance of 10% or less of the budgeted direct expenditures for “U.S.” or U.S for Host Country of the current f iscal year’s budgetary allocat ion as of the September 30 billing can automatically carry forw ard the unspent balance w ith the assumption that the amount of carry forw ard w ill be spent to complete act ivit ies as out lined in the current w orkplan. No paperw ork needs to be submitted to the MO. The MO considers this an automatic encumbrance. If the balance of unspent funds exceeds 10% of the budgeted direct expenditures for U.S. or U.S. for Host Country as of August 30, the subcontracted U.S. University should submit a “ Request to Carry Forw ard” to the Management Off ice by September 15 of that year. The Request to Carry Forw ard should include the follow ing information.

1. An itemized list of budgeted items and amounts that w ere not expended during the recent ly ended f iscal period and are being requested for carry forw ard into the next f iscal year.

2. An explanat ion as to w hy each item w as not expended during recent ly ended f iscal year.

3. An explanat ion of how carry-forw ard funds w ill be spent during the next f iscal year plus a t imeline for their expenditure.

17

Although subcontractors have line-item f lexibility in terms of expenditures and are alw ays encouraged to seek to achieve economies, the Management Off ice holds subcontractors accountable for research, outreach and inst itut ional capacity building commitments out lined in project w orkplans. Therefore, if an excess balance of unspent funds exists at the end of a f iscal year, the Management Off ice requires that subcontractors commit to expending all carry -forw ard funds for specif ic designated purposes as ident if ied in project w orkplans in order for the carry-forw ard request to be allow ed. In cases w here the start of degree training is delayed but had been budgeted for the ent ire f iscal year, the Management Off ice encourages the subcontractor to submit a Request for Carry Forw ard of the unspent training funds to ensure that funds remain associated w ith the act ivity and adequate funding is available to complete the degree training during future f iscal periods as originally budgeted in the project. This Allow able Carry Forw ard Policy has no relevance to funds obligated for Host Country inst itut ions, since Fixed Price Contracts are used to def ine the contractual relat ionship. Under Fixed Price Contracts, Host Country inst itut ions are only held accountable for complet ion of a scheduled set of def ined “ deliverables” ident if ied in Legume Innovat ion Lab project annual w orkplans. Requests for Carry Forw ard (in excess of 10%) w ill be review ed by the Management Off ice in an expedit ious manner. Approval decisions may be for the full carry-forw ard amount requested or a part . “ Excess” funds (unapproved balance in excess of 10% of direct expenditures for U.S. or U.S. for Host Country) may be de-obligated by the Management Ent ity from a project through a future modif icat ion to the sub-contract w ith the Lead U.S. university. Excess funds are view ed by the Management Off ice as either a symptom of poor budget ing or unsat isfactory implementat ion of a subcontracted project. All “ excess funds” that are de-obligated from projects w ill be made available on a competit ive basis to fund future act ivit ies aligned w ith priority technical areas in the Legume Innovat ion Lab’s Technical Vision. V. PROGRAM POLICIES AND GUIDELINES

A. COST SHARE The Legume Innovat ion Lab requires that each research project provide cash or in-kind contribut ions (cost share) on funds received according to the guidelines indicated above in the Sect ion on Financial Management, Annual Budgets.

B. U.S. – HOST COUNTRY INSTITUTIONAL BUDGET SPLIT A minimum of 50% of the direct funds must be expended in or on behalf of the Host Country Inst itut ions part icipat ing in this Innovat ion Lab. Higher percentages of funding budgeted for Host Country Inst itut ions w ill, how ever, be view ed favorably.

C. INSTITUTIONAL CAPACITY BUILDING AND TRAINING

Increasing the capacity of HC inst itut ions is a priority global theme for the Legume Innovat ion Lab. The Legume Innovat ion Lab is committed to ut ilizing the unique capacit ies of U.S. and HC universit ies to provide cost-effect ive, innovat ive, and gender balanced short -term and degree training for young professionals from developing countries in response to ident if ied inst itut ional needs. Programmatic priorit ies for inst itut ional capacity building include: a) support of t raining ut ilizing leveraged funds to achieve dual program object ives— research and human resource development, b) support of degree training that addresses specif ic ident if ied HC inst itut ional needs, c) use of advanced regional HC inst itut ions for degree and short -term training, d) support for short -term training in cutt ing-edge technologies, tools and management skills, and e) support for equipment, facility and professional development needs of HC inst itut ions to conduct research, teaching and outreach. All subcontracted projects are required to give priority to inst itutional capacity building through long-term degree training, short term

18

t raining and/or the purchase of equipment (> $5,000) w hich w ill enhance the capacity of the Host Country inst itut ion in research, teaching or outreach. The Legume Innovat ion Lab’s expectat ion is that subcontracted projects devote at least 30% of project funds to HC capacity building act ivit ies.

All t rainees that come to the U.S. must be in compliance w ith USAID guidelines for Participant Training (ADS 253). See Sect ion “ VII: Part icipant Training.” It is the responsibility of the subcontracted U.S. Lead universit ies of Legume Innovat ion Lab projects to ensure compliance and to develop capacity for use of “ TraiNet” .

D. GENDER EQUITY Women play vital roles in all subsectors of grain legume value-chains in Africa and Lat in America. Not only do w omen frequent ly assume the primary responsibility for grow ing legumes and other crops for household food security, but many w omen are entrepreneurial and market bean and cow pea grain or processed foods locally. Women also have primary responsibility for food preparat ion, including select ion of food in the household diet, a key determinant of nutrit ion. Ensuring gender equity, access to technology and improvement of the livelihoods of w omen w ill be cross-cutt ing w ithin the Legume Innovat ion Lab and an integral part of all aspects of program conceptualizat ion, design, implementat ion and assessment. Proposals for subcontracted projects w ill be required to describe how gender issues have been considered in project planning and design. Technology development and research should address gender considerat ions. The recruitment and training of w omen in crit ical areas of agricultural science w here under-represented w ill be a priority in the Legume Innovat ion Lab. Women need to be prepared for posit ions of leadership in nat ional research programs, private industry and public service. Sat isfactory inclusion of gender into the project proposal w ill be a criterion for select ion of projects and the evaluat ion of w orkplans.

E. BIODIVERSITY Biodiversity conservat ion is extremely important to USAID. Conservat ion of biodiversity applies not only to the f lora and fauna in agro-ecosystems, but also to the insect and microbial populat ions w ithin those systems. The Legume Innovat ion Lab is w ell posit ioned to support and contribute to biodiversity conservat ion since beans and cow peas are indigenous to Lat in America and Africa, respect ively. Wild species and domest icated land races of Phaseolus and Vigna frequent ly exist in close proximity to cult ivated beans and cow peas w ithin these regions. In addit ion, bacteria (e.g., Rhizobium sp., etc.), fungi, nematode, insect, and bird species have evolved in associat ion w ith these pulse species in the respect ive ecosystems. Cultural management intervent ions can potent ially alter the ecological balance of these associated organisms, many of w hich are benef icial, thus inf luencing their cont inued survival. The Legume Innovat ion Lab is committed to the maintenance of biodiversity for the purposes of sustainability of cropping systems in developing countries. To the extent possible, all Innovat ion Lab research, outreach and inst itut ional capacity building/training init iat ives should seek to contribute to sustainable conservat ion of biodiversity.

F. ENVIRONMENTAL IMPACT AND MONITORING It is not ant icipated that Legume Innovat ion Lab research and development act ivit ies -- technical assistance, assessments, studies, policy analyses and stakeholder consultat ion -- to be conducted under this 2013-2017 extension period w ill have a signif icant negat ive direct impact on the environment. These act ivit ies are generally designed to have a posit ive impact on the environment, and to devise, by their nature, mit igat ion and best management pract ices, through research. Therefore, and consistent w ith the implementat ion of the init ial Dry Grain Pulses CRSP Agreement, all condit ions in the previous Init ial Environmental Examinat ion (IEE) are in effect for this Legume Innovat ion Lab Amendment. There are no plans under this Agreement to procure or use pest icides of any kind or to use genet ically modif ied organisms (GMO). Prior to such use, and pursuant to Tit le 22 of the Code of Federal Regulat ions Part

19

216, commonly know n as 22 CFR 216, the Legume Innovat ion Lab is responsible for adhering to the condit ions indicated in the IEE prepared by the AOR. In the case of projects that plan to include fert ilizer or pest icide applicat ions purchased w ith USAID funds, each subcontracted US Lead University w ill prepare an Environmental Mit igat ion and Monitoring Plan (EMMP) including all partner inst itut ions (see Appendix I for EMMP Template). The EMMP has three main aspects: 1) detail the mit igat ion actions taken to sat isfy the IEE or EA condit ions; 2) ident ify the indicators or criteria that w ill be used to monitor w hether mit igat ion act ions have been taken and are effect ive; and 3) out line responsibility and schedule for the mit igat ion, monitoring and report ing for these act ions. A template for the EMMP w ill be available on the Legume Innovat ion Lab w ebsite. No funds are allow ed to be spent on such procurement of use, or recommendation for procurement or use, unt il an amendment is provided to the IEE that addresses the pest icide procedures out lined under 22 FR §216.3(b) and including a Pest icide Evaluat ion and Safe Use Act ion Plan is completed (w here required) and approved in w rit ing by the BFS BEO. Should a cooperat ing university w ish to undertake any act ivit ies w ith species that are non-endemic to a country or not already w ell established in the region of potent ial use, or that are non-endemic and w ell established but are the subject of an invasive species control ef fort , such as biological control agents (for example, invertebrates or viruses), the AOR shall require the cooperat ing university to prepare an amendment to this interim IEE that w ill examine the potent ial environmental impacts of such a species and such amendment must be approved by the BFS BEO prior to approving the use of funds for such a species to be included. If use of a GMO is subsequent ly planned, any such proposal shall f irst be submitted to the MO and USAID for a biosafety review and subsequently the information f low ing from the biosafety review shall be used as the basis for an amendment to the legume Innovat ion Lab’s IEE to make a f inal determinat ion w hether such GMO may be used or recommended for use. This IEE amendment must be approved in w rit ing by the BFS BEO prior to a f inal decision or expenditure of funds to use or recommend the use of a GMO. The AOR shall be responsible for holding the cooperat ing university responsible for ensuring this occurs. In accordance w ith USAID policy, any subsequent Associate Aw ards shall be required to complete a separate Init ial Environmental Examinat ion and be approved in w rit ing joint ly by the USAID operat ing unit issuing the Associate Aw ard, said unit ' s BEO as w ell as the BFS BEO prior to the issuance of the Associate Aw ard. More detailed information and instruct ions can be found at http://w w w .usaidgems.org/ .

G. PROTECTION OF INDIVIDUALS AS RESEARCH SUBJECTS Safeguarding the rights and w elfare of human subjects involved in research supported by USAID is the responsibility of the contracted and subcontracted inst itut ions. USAID has adopted the Common Federal Policy for the Protect ion of Human Subjects, Part 225 of Tit le 22 of the Code of Federal Regulat ions (the “ Policy” ). Addit ional interpretat ion, procedures and implementat ion guidance of the Policy are found in USAID General Not ice ent it led “ Procedures for the Protect ion of Human Subjects in Research Supported by USAID,” issued April 19, 1995, f rom t ime to t ime amended USAID’s Cognizant Human Subjects Off icer (CHSO) in USAID/W has oversight, guidance and interpretat ion responsibility for the Policy.

The Legume Innovat ion Lab and all sub and sub-subcontractors must comply w ith USAID policy w hen humans are the subject of research, as def ined in 22 CFR 225.102(d), funded by the grant and recipients must provide " assurance" , as required by 22 CFR 225.103, that they follow and abide by the procedures in the Policy. See also Sect ion 5 of the April 19, 1995, USAID General Not ice w hich sets forth act ivit ies to w hich the Policy is applicable. The existence of a bona f ide, applicable assurance approved by the Department of Health and Human Services (HHS) such as the "mult iple project assurance" (MPA) w ill sat isfy this requirement. Alternat ively, Legume Innovat ion Lab subcontractors can provide an acceptable w rit ten assurance to USAID as described in 22 CFR 225.103. Such assurances must be determined by the CHSO to be acceptable prior to any applicable research being init iated or

20

conducted under the aw ard. In some limited instances outside the U.S., alternat ive systems for the protect ion of human subjects may be used provided they are deemed " at least equivalent" to those out lined in Part 225 (See 22 CFR 225.101[h]). Criteria and procedures for making this determinat ion are described in the General Not ice cited in the preceding paragraph.

Since the w elfare of the research subject is a matter of concern to USAID as w ell as to the Legume Innovat ion Lab, USAID staff consultants and advisory groups may independent ly review and inspect research and research processes and procedures involving human subjects, and based on such f indings, the CHSO may prohibit research w hich presents unacceptable hazards or otherw ise fails to comply w ith USAID procedures. Informed consent documents must include the st ipulation that the subject ' s records may be subject to such review . Evidence of human subjects research clearance may be requested by the MO from the US Lead University for all subcontracted Legume Innovat ion Lab projects administered by the inst itut ion.

H. POLICY ON INTELLECTUAL PROPERTY

Guidelines for U.S. and HC Scientists in Legume Innovation Lab Activities The Legume Innovat ion Lab adopts the follow ing guidelines governing the generat ion, legal protect ion, use, handling, and transfer/licensing of IPs in Innovat ion Lab-f inanced collaborat ive research and training activit ies w ithin both the United States and HCs. These guidelines are formed by internat ional, nat ional, inst itut ional and project legislat ion and/or policies. For some of the def init ions and principles underlying the IP policy, please refer to Appendix J .

1. International-GATT/TRIPS Legume Innovat ion Lab scient ists must abide by provisions w ithin the Uruguay Round’s Agreement on Trade Related Intellectual Property Rights (the TRIPS Agreement) w hen transferring, using and managing IPs in an internat ional context. TRIPS imposes global minimum standards for intellectual property rights. Key requirements of TRIPS that may affect the act ivit ies of Innovat ion Lab scient ists w ho are involved in collaborat ive research projects w ith HC scient ists include the follow ing (not a complete list ing): a. Requires that countries provide patent protect ion for genes, microorganisms, microorganism processes and pharmaceut icals. b. Permits exclusion from patentability for living plants and animals as w ell as biological processes for producing plants and animals. c. Requires countries not providing patent protect ion for plant variet ies to provide protect ion through an effect ive sui generis system (i.e., PVP).

Convent ion on Biological Diversity: All novel germplasm from foreign countries (non-U.S.) to be ut ilized in Legume Innovat ion Lab funded projects must be acquired in accord w ith the guidelines established under the UN Convent ion of Biological Diversity (1993) (CBD) and law s of the relevant donor country. 2. National Standard Provisions of USAID Grant : The Legume Innovat ion Lab, being a federally funded program through the United States Agency for Internat ional Development (USAID), complies w ith the Patent Rights (Aug. 92) provision (p. 10-13) of the Standard Provisions of the USAID grant. NIH: The Legume Innovat ion Lab requires that all research act ivit ies involving products of genet ic engineering, w hether in the U.S. or in HCs, abide by relevant law s and guidelines for biosafety and food safety such as established by the Nat ional Inst itutes of Health (NIH) and the Food and Drug Administrat ion (FDA) or similar law s/policies in the country w here the research is being conducted.

Bayh-Dole Act (1980): Any inst itut ion, including both U.S. and HC, receiving Legume Innovat ion Lab subcontracts must comply w ith the Bayh-Doyle Act (1980) w hen establishing ow nership of IPs generated through Innovat ion Lab-funded research act ivit ies and licensing legally protected technologies to other part ies. See below (Inst itut ion) for specif ic inst itut ional provisions established by the Bayh-Doyle Act (1980). 3. Institutional

21

In accord w ith the Bayh-Dole Act (1980) and the Standard Provisions for USAID grants, the follow ing provisions relative to invent ions apply to universit ies and HC Inst itut ions receiving Legume Innovat ion Lab subcontracts. These provisions are applicable regardless of w hether the project, in w hich the invent ion w as conceived or f irst reduced to pract ice, w as fully or part ially funded by the innovat ion Lab.

a. Innovat ion Lab researchers are obligated to report any invent ion to the University (Off ice of Intellectual Property) or HC Inst itut ion having a subcontract. The Lead University or HC Inst itut ion must report w ithin sixty days the invent ion to the Management Ent ity for the Legume Innovat ion Lab, Michigan State University, w hich w ill assume the responsibility of report ing to USAID.

b. The University or HC Inst itut ion may elect to retain t it le to invent ions developed under Legume Innovat ion Lab projects.

c. The University or HC Inst itut ion must f ile patents on invent ions they elect to ow n. d. The U.S. Government is granted a non-exclusive license to pract ice the patent

throughout the w orld. In the case of USAID, this w ould most likely be in LDCs. e. The U.S. Government retains march-in rights if the University or Inst itut ion is not

moving forw ard w ith the invent ion, i.e., USAID has the right to grant a license in any f ield of use to a responsible applicant.

f . The University or HC Inst itut ion may license the invent ion for commercializat ion. g. Any company that holds an exclusive license for sales in the United States must

substant ially manufacture the invent ion in the U.S. h. The University or HC Inst itut ion may not re-assign rights back to the inventor w ithout

permission from the funding agency. i. The University or HC Inst itut ion may not assign its rights to invent ions to third part ies

except for a patent management organizat ion.

Legume Innovation Lab Policies on IP Universit ies and inst itut ions receiving Legume Innovat ion Lab subcontracts are required to adhere to the above guidelines that are in accord w ith nat ional and internat ional law s and agreements and inst itut ional policies. It w ill be the responsibility of the individual inst itut ions w ith subagreements w ith the ME (Michigan State University) to ensure compliance.

Based upon the Fundamental Principles, the Legume Innovat ion Lab encourages Innovation Lab scientists and their respective Institutions:

To apply for intellectual property protect ion for advanced biological technologies and/or intermediate (i.e., DNA probes, vector strains, gene constructs, primers, etc.) or f inal products (i.e., t ransgenic organisms, genet ic maps, etc.) in order to assure the availability of such technologies to developing countries.

To seek plant variety protect ion for elite germplasm/cult ivars that have been developed as a result of Innovat ion Lab-supported breeding programs in order to assure availability to grow ers in both the U.S. and in HCs.

To apply for patents or other legal mechanisms to protect intellectual contribut ions in order to assure the availability and maximum potent ial benef it of said IPs and associated technologies to Innovat ion Lab target groups (i.e., small farmers, w omen, etc.) in the U.S. and HCs.

The Legume Innovat ion Lab recommends the use of the follow ing mechanisms to assure an orderly but f lexible, safe and legal process for disclosure, transfer, and ut ilizat ion of IPs/technologies. Research Agreements and Joint Venture Agreements: Research Agreements w hich include Intellectual Property management guidelines must be signed by the Legume Innovat ion Lab Management Ent ity, Michigan State University, and the U.S. Universit ies to w hom contracts are aw arded, and by the U.S. Legume Innovat ion Lab inst itut ions and HC Inst itut ions w ith w hom subcontracts are established. Research agreements w ill be required as a mechanism to def ine the obligat ions of all part ies to ensure compliance by HC Inst itut ions and NARS w ith Innovat ion Lab policies. Disclosure Agreements: Legume Innovat ion Lab researchers/inst itut ions must not ify the MO w ithin 30 days after f iling an invent ion/discovery disclosure form or applicat ion for plant variety protect ion (PVP).

22

Material Transfer Agreements: Principal Invest igators should obtain Material Transfer Agreements (MTA) w hen transferring biologically act ive material (i.e., genet ic material, including transgenics, elite germplasm and parental lines of hybrids) betw een Innovat ion Lab universit ies and inst itut ions and w ith non-Innovat ion Lab ent it ies. MTA should establish the terms regarding use, handling, liability, commercializat ion and publicat ion of data of said biologically act ive material. MTAs are a mechanism to assure long-term availability of genet ic products from CRSP and Legume Innovat ion Lab funded breeding programs to public and private organizat ions in the U.S., Africa, Lat in America and the Caribbean. MTAs should be on f ile at the respect ive universit ies/inst itut ions w here the research is being conducted and be available to the MO upon request (but not more frequent ly than once annually). Failure to acquire such agreements or to present them to the MO w hen requested may result in a discont inuat ion of f inancial support for the specif ic research act ivity. Licensing Agreements: Licensing Agreements serve tw o dist inct purposes as related to Legume Innovat ion Lab act ivit ies. 1) Licensing of third-party IPs for use in Legume Innovation Lab-supported research and development activities. The Legume Innovat ion Lab recognizes that IPs may be necessary for the achievement of certain Legume Innovat ion Lab research object ives, especially in the area of plant genet ics. Licensing Agreements establish the terms and condit ions for both part ies (supplier and scient ist) for the use of the IP in research and assures that Innovat ion Lab universit ies and inst itut ions w ill have the opt ion to license at some future t ime end products of said research. As a matter of general policy, the Legume Innovat ion Lab w ill not support f inancially those research programs in w hich Licensing Agreements for proprietary IPs to be used in a research act ivity w ill prohibit the commercializat ion of end products of the research involving IPs (i.e., a transgenic line, etc.) and/or restrict their t ransfer and ut ilizat ion by both Innovat ion Lab inst itut ions and non-Innovat ion Lab ent it ies (i.e., NGOs, research inst itut ions, etc.). 2) Licensing of innovations and technologies developed by the Legume Innovation Lab . Licensing Agreements should be used to establish the terms and condit ions for both part ies (an Innovat ion Lab university or inst itut ion and a non-Innovat ion Lab ent ity) for the commercializat ion or transfer/disseminat ion of protected creat ions and technologies developed in full or part w ith Innovat ion Lab f inancial support . License Agreements are usually long-term arrangements w hich assure access by private, public and non-prof it interests to Innovat ion Lab technologies. Licensing Agreements do not require MO approval, but must be on f ile at the respect ive universit ies/inst itut ions w here the research is being conducted. A copy of Licensing Agreements involving Innovat ion Lab-developed technologies (type b) must be sent to the MO for information and record keeping purposes. Failure to acquire such agreements or to present them to the MO w hen requested may result in a discont inuat ion of f inancial support for the specif ic research act ivity.

VI. PARTICIPANT TRAINING All Legume Innovat ion Lab degree and short term trainees must be in compliance w ith USAID guidelines for Part icipant Training (ADS 253). USAID-Standard Provisions establish Agency policy regarding “ Part icipant Training.” For further information, documents can be accessed at http://t rainethelp.usaid.gov/Documents/index.htm and https://trainet-vcs.usaid.gov/ C.17 PARTICIPANT TRAINING (APRIL 1998)

(a) Def init ion: A part icipant is any non-U.S. individual being trained under this aw ard outside of that individual' s home country.

(b) Applicat ion of ADS Chapter 253: Part icipant training under this aw ard shall comply w ith the policies established in ADS Chapter 253, Part icipant Training, except to the extent that specif ic except ions to ADS 253 have been provided in this aw ard w ith the concurrence of the Off ice of Internat ional Training.

23

The follow ing language regarding Training appears in all sub-agreements negot iated by the Management Ent ity, Michigan State University, for Legume Innovat ion Lab research, outreach and training act ivit ies.

XXIV - TRAINING Part icipant training under this Subagreement is to be conducted according to Art icle 5 of the Required Applicable Standard Provisions for U.S., Nongovernmental Recipients attached hereto as Appendix A. Part icipant Training under this aw ard shall comply w ith the policies established in ADS 253, “ Part icipant Training.”

Within ADS 253- Training for Development , USAID requires that Sponsoring Units ensure that the Implementer or Part icipant completes the follow ing documents and processes for U.S Training. (See attached ADS 253 document.)

253.3.1.3 Required Documentat ion, Information, and Processes (Effect ive Date: 06/18/2004) For Part icipants studying in the U.S., the Sponsoring Unit must ensure that the Part icipant or the Implementer completes the follow ing documents and processes:

a. A medical examinat ion form, except w hen covered by the 30-day Health and Accident Coverage (HAC) policy, w hich requires no medical exam;

b. Health and Accident Coverage (HAC) enrollment for U.S. and third country training (see the mandatory reference, HAC Insurance and Cert if icat ion of Medical Eligibility);

c. Cert if icat ion of English language prof iciency (see the mandatory reference, English Language Prof iciency);

d. A Condit ions of Sponsorship Form (AID Form 1381-6); e. A USAID-issued Form DS-2019 for request ing a J-1 non-immigrant exchange

visitor visa and subsequent ly a J-1 visa; and f. A round-trip airline ticket, purchased in compliance with the Fly America Act.

An important policy set forth in ADS Chapter 253 is that a trainee from a foreign country supported through a USAID grant/cooperat ive agreement should enter the U.S. w ith a USAID-sponsored J-1 visa. The DS 2019 to obtain the J-1 visa is generated through the TraiNet/VCS/Student and Exchange Visitor Information System (SEVIS) interface system developed by USAID. This policy applies to both long-term (degree) and short -term training (def ined as any training act ivity less than 9 months). U.S. university subcontractors of Legume Innovat ion Lab projects w hich involve training of Host Country persons should therefore have trained and qualif ied persons to use TraiNet. ADS 253.3.2 also requires that implementers record third-country training Part icipants in the TraiNet database, just as they do for Part icipants receiving training in the U.S. Subcontractors are also encouraged to become familiar w ith ADS 252- Visa Compliance for Exchange Visitors w hich is cited frequent ly in ADS 253. Under certain circumstances it may be possible to obtain a w aiver of the J-1 visa, how ever this is not the norm. To ascertain compliance w ith USAID’s requirements regarding Part icipant Training, including the issuance of a USAID-sponsored DS-2019 and a J-1 visa, the Management Off ice requires that all subcontracted Lead U.S. universit ies submit a completed Trainee Information Form (Appendix K) to the MO for each trainee receiving either full or part ial support through the Legume Innovat ion Lab. In order to foster the object ives of capacity building w ithin Legume Innovat ion Lab projects, PIs are encouraged to use the APLU document Good Pract ices in leveraging Long-term Training for Inst itut ional capacity strengthening (2104), found at http://w w w .aplu.org/document.doc?id= 5099 ) as a reference document , as w ell as the USAID document Human And Inst itut ional Capacity Development Handbook (2010) available at http://pdf.usaid.gov/pdf_docs/PNADT442.pdf . In addit ion to required subcontractor compliance w ith USAID Standard Provisions, the Legume Innovat ion Lab requests adherence to the follow ing program policies on training.

24

A. PROGRAM POLICIES REGARDING TRAINING IN THE U.S. Trainee Categories and Budget Policies Degree or short -term training in the U.S. can occur either as “ part icipant training,” “ other training,” or “ non-part icipant trainee/Innovat ion Lab research assistant.” The follow ing policies apply to each category:

1. Participant Trainee: Training must occur in accordance w ith the procedures set forth in ADS 253. These include (but are not limited to):

USAID-sponsored J-1 visa Use of TraiNET-VCS by the Innovat ion Lab U.S. inst itut ion to generate a DS-

2019, and to track and report the status of t rainees to USAID Enrolling trainees in the HAC insurance program Complying w ith guidelines pertaining to part icipant allow ances and U.S. tax

payment

Budget policy: All t raining costs associated w ith “ Part icipant training” in the U.S. should be budgeted as “ U.S. for Host-Country expenses” . These costs are exempted from the 15% match requirement from the U.S. inst itut ion.

2. Other Trainee: Students/trainees from the U.S., a HC or a third country w ho receive indirect support f rom Innovat ion Lab for research only (e.g., laboratory facilit ies, equipment, t ravel, research supplies, etc.) are considered “ other trainees.” Budget policy: By def init ion, this category of training has zero budget going direct ly to the trainee (in the form of tuit ion fees, st ipend/salary or assistantship). The “ Budget Note” in the w orkplan should indicate the source of leveraged funds for this category of t rainee and type of research support provided by the Innovat ion Lab.

3. Non-Participant trainee/Innovation Lab research assistant:

Includes all graduate students and short -term trainees w ho are U.S. cit izens and are receiving total or part ial support f rom the Innovation Lab.

Also includes graduate students/short -term visitors from a host country or a third country w ho are part ially or fully supported by the Innovat ion Lab (in the form of tuit ion fees, st ipend/salary or assistantship for services rendered) but are not part icipant trainees (as def ined above).

Visa policy: Non-part icipant trainees/Innovat ion Lab research assistants from a host country w ho come to the U.S. w ith the intent ion of being fully or part ially supported under an Innovat ion Lab project, are required to receive a university-issued DS 2019 to obtain a university-sponsored J-1 visa w ith a tw o-year residency requirement w ithin the home country subsequent to graduat ion. Budget policy: All costs associated w ith “ non-part icipant trainee/Innovat ion Lab research assistant” should be budgeted as “ U.S. research expenses.” Costs budgeted for this type of t raining in the U.S. are considered a U.S. inst itut ion’s expense for complet ion of Legume Innovat ion Lab collaborat ive research commitments as out lined in approved w orkplans and thus require a 15% match from the sub-contracted U.S. inst itut ion.

B. PROGRAM POLICIES REGARDING TRAINING IN A THIRD COUNTRY Trainee Category Degree or short -term training in a third country (i.e., country other than the home country or the U.S) should occur as “ part icipant training” in accordance w ith the procedures set forth in

25

ADS 253. This includes (but not limited to): Use of TraiNET by the Innovat ion Lab U.S. inst itut ion to track and report the

trainees to USAID Enrolling trainees in the HAC insurance program (if t raining is in a third country) Complying w ith guidelines pertaining to part icipant allow ances

Budget policy All t raining costs associated w ith “ Part icipant training” in a third country should be budgeted as “ Host-Country expenses” (if budgeted under a HC sub-agreement) or as “ U.S. for HC expenses” (if budgeted under the U.S. inst itut ion). These costs are exempted from the 15% match requirement from the U.S. inst itut ion.

VII. MISSION ENGAGEMENT

The MO of the Legume Innovat ion Lab is committed to pursuing partnerships w ith and sharing information on research, training and outreach achievements w ith USAID Country and Regional Missions. To this end, U.S. and HC PIs as w ell as the Program Director and Associate Director should seek to proact ively engage country USAID Missions at various stages during the implementat ion of projects w ithin a country or region. These engagements may include courtesy visits to introduce scient ists and HC collaborators and to share information and discuss Innovat ion Lab act ivit ies being carried out. All visits by PIs to USAID Missions should be preceded by an authorizat ion of the USAID AOR assigned to the Legume Innovat ion Lab through the Management Off ice. The “ Travel Authorizat ion Form” can be used for this purpose. The USAID AOR w ill contact the country or regional Mission to not ify of PI’s t ravel. Under Feed the Future, Innovat ion Labs are expected to respond to USAID “ Focus” country and regional Mission FTF Strategies to transform selected priority value-chains. Numerous Missions in FTF Focus countries have ident if ied beans, cow peas and other edible grain legumes as strategic value chains. The FTF Strategies and mult i-year implementation plans prepared by the focus country Missions and can be accessed at ht tp://w w w .feedthefuture.gov/countries . In accord w ith USAID policy, Legume Innovat ion Lab PIs and aff iliate inst itut ions should not submit unsolicited proposals to USAID Country and Regional Missions to augment support for Innovat ion Lab w ork in a part icular country. The role of USAID-Washington’s Off ice of Agricultural Research and Policy and of AORs is to represent the capacit ies, resources and services of individual Innovat ion Labs to USAID f ield missions and to init iate dialog on potent ial Associate Aw ards. If Missions have potent ial interest in a support ing w ork in their respect ive country, the f irst step w ould be a request through the MO of the Legume Innovat ion Lab for the preparat ion of a Concept Paper. The ME is posit ioned to administer Associate Aw ards that might be contracted by USAID Country and Regional Missions for w ork to be carried out by subcontracted inst itut ions. As the “ Leader” of an LWA aw ard involving subcontracts w ith partner inst itut ions, MSU is committed to providing unbiased representat ion of the capacit ies and interests of the community of U.S. and HC scient ists and inst itut ions w hich part icipate in the program. The Legume Innovat ion Lab can provide a broad range of deliverables to Missions to achieve their in-country foreign assistance and development object ives including: technologies to enhance the product ivity and marketability of pulses (i.e., pigeon peas, fava beans, chickpeas, and lent ils); cost-effect ive training (e.g., short courses, graduate degree training) opportunit ies; consultat ive services in such areas as biotechnology, disease diagnosis, market development, food processing, human health, community nutrit ion, and extension methodologies; research to f ind solut ions to crisis situat ions (crop disease outbreaks); and seed of improved bean and cow pea variet ies for distribut ion to farmers in response to natural and polit ical disasters. VIII. FEDERAL GUIDELINES

26

A. FEED THE FUTURE (This section is quoted from the Executive Summary of USAID’s Feed The Future “Global Food Security Research Strategy’, May 2011; < http://pdf.usaid.gov/pdf_docs/PDACR702.pdf> ) The President ’s Global Hunger and Food Security Init iat ive, t it led “ Feed the Future (FTF)” , has the overarching goal of sustainably reducing global poverty and hunger (w w w .feedthefuture.gov). Providing suff icient food to the w orld’s grow ing populat ion w ill require a 70 percent increase in agricultural product ion by 2050 (Bruinsma 2009). To meet this food security challenge under constraints of limited agricultural land availability and increased climat ic variability, the w orld w ill need to support and develop scient if ic and technological innovat ions that increase agricultural product ivity in an environmentally sound manner w hile improving the availability of nutrit ious foods. The food price spikes of 2006-2008 and that are resurfacing today underscore the fragility of global food security, w ith recent est imates that nearly a billion people are food insecure (Shapouri 2010), af fect ing families in the United States and around the w orld. While the causes w ere many, the underlying challenges are clear: the w orld cannot achieve the Millennium Development Goals (http://w w w .un.org/millenniumgoals/) relat ing to hunger, poverty, health, gender and the environment w hen the grow th of agricultural product ivity and income stagnates or is otherw ise insuff icient. The global research port folio, presented in the FTF Global Food Security Research Strategy, serves as an integral strategy w ithin the broader Feed the Future Init iat ive. The FTF Init iat ive includes targeted investments in Focus Countries to enhance agricultural product ivity, to expand markets and trade, and to increase the economic resilience of vulnerable rural communit ies in addit ion to support ing a mult ifaceted approach to nutrit ion. The FTF Init iat ive w ill make complementary investments in regional programs w here food security issues go beyond nat ional boundaries, mult ilateral mechanisms for large-scale investments such as infrastructure, and strategic partnerships w ith countries that serve as regional anchors for food security. Research investments described in the FTF Research Strategy focus on internat ional public goods, w hich benef it Focus Country producers and consumers as w ell as those in neighboring countries. Internat ional public goods research w ill be linked to investments in Focus Countries in local adapt ive research, inst itut ional and human capacity building and strengthening of extension services. These country-level investments are central to the successful ut ilizat ion of the outputs of research. Operat ional dimensions and linkages betw een the global research portfolio and nat ional level programs w ill need to be w orked out in each country in w ays that fully ref lect the country-led approach.

1. Why research? Research f igures prominent ly in the Feed the Future Init iat ive because it is crit ical to sustainably enhancing agricultural product ivity grow th, w hich is strongly linked to economic grow th in developing countries and has show n substant ial impact on reducing poverty in Asia and Africa (Thirt le et al. 2003). Ensuring global food security w ill only become more diff icult given the challenges associated w ith providing suff icient food for a grow ing global populat ion. In addit ion, grow th in agricultural product ivity faces increasing challenges from land degradat ion, climate change, scarce w ater supplies, and competit ion for energy resources from industry and urbanizat ion. In addit ion to the linkages among agricultural product ivity, agriculture-led economic development and poverty reduct ion, w e also recognize the mult iple interact ing direct and indirect pathw ays through w hich agricultural research can contribute to improved nutrit ion. Solut ions lie in research to achieve sustainable intensif icat ion through increases in agricultural product ivity w ith an emphasis on improving the nutrit ional quality of the diet w hile reducing agriculture’s adverse impact on natural resources and the environment. Environmentally and economically sustainable agricultural product ivity gains w ill be generated from a range of innovat ions, including resource use eff iciency, genet ic improvement, integrated pest management, reduced post -harvest losses, risk management strategies, and reduced market ing costs. These innovat ions w ill be developed and deployed in close collaborat ion w ith stakeholders from nat ional governments to local communit ies to ensure that technologies and

27

innovat ions developed are responsive to the needs of poor producers in our partner countries. Impact. Invest ing in agricultural research today w ill contribute to the grow th and resilience of the food supply tomorrow . When combined w ith effect ive extension services and appropriate market incent ives, agricultural research increases agricultural product ivity (af fect ing the availability of food) but also increases real income to purchase food (impact ing household access to food) and, potent ially, the quality of the diet consumed (associated w ith human nutrit ional status). Moreover, increased agricultural product ivity drives demand for goods and services, especially those produced locally, helping generate employment and further reducing poverty. Agricultural research and technology deployment accompanied by investments in extension, educat ion and other act ivit ies that spur rural enterprises are very effect ive in driving broad-based economic grow th, w hich can especially benef it low -income groups. Scale. Since outputs from global research have broad applicability, they can be adapted over w ide areas to increase agricultural product ivity. Collect ively, agriculture product ivity and eff iciency gains can add tens of billions of dollars to developing countries’ economies and food security annually. Direct and indirect income gains, mult iplied year after year, lead to rural t ransformation through increased demands for locally produced goods and services. Past research indicates high rates of return from agricultural research in Sub-Saharan Africa, averaging betw een 22-34 percent per year (Alston et al. 2000, Thirt le et al. 2003). The grow th in agricultural GDP generated by productivity gains provides broad impact across the economy, for both producers and consumers.

2. What is new? The global research strategy under the Feed the Future Init iat ive is one part of the larger Feed the Future strategy and w ill be implemented in close coordinat ion w ith other programs in the Init iat ive. Feed the Future’s research portfolio emphasizes a new paradigm of sustainable intensif icat ion to catalyze agriculture-led economic grow th by focusing on environmentally sustainable product ivity gains through research that is purpose-driven and impact-oriented, and that operates in close coordinat ion w ith deployment of research outputs through extension, educat ion, evaluat ion and feedback at the individual country level. Our strategy calls for closer t ies and sharing of information across the three stages of research—discovery, development and deployment. This includes the integrat ion of natural science and social science research including policy analysis to increase impacts for developing w orld farmers. The approach also emphasizes building linkages and collaborat ions across the U.S. and internat ional research communit ies and helping to leverage U.S. public and private research investments w ith the investments made by others. We w ill w ork closely w ith other research donors such as foundat ions, the private sector, and governments to target common priorit ies to enhance agricultural product ivity and sustainability. Whole of Government. Feed the Future adopts a new w hole of government approach to leverage the exist ing competencies of United States Government (USG) agencies tow ard the common goals of reducing poverty and hunger. The Department of State, the U.S. Agency for Internat ional Development and the U.S. Department of Agriculture have w orked together to develop this strategy. USG agencies w ill w ork together to implement the FTF research strategy, including, w here appropriate, aligning their food-security related research programs w ith the FTF research priorit ies.

28

Highlighting Gender. Women play a key role in achieving a food-secure w orld and our research strategy takes into considerat ion the needs and roles of w omen as producers, entrepreneurs, scient ists, extension agents, and consumers. Integrat ion of gender analysis and ensuring that benef its are equitably distributed from our investments are crit ical to achieving our goals of sustainably reducing poverty and hunger. Women often play a signif icant role in product ion as w ell as allocat ing household resources in w ays that have signif icant benefits to children’s nutrit ional status, and understanding perspect ives of both men and w omen in resource allocat ion w ill improve programmatic efforts to increase product ivity and improve child nutrit ion at the household level. In addressing gender and the needs of w omen as agricultural producers, the FTF research strategy takes into account their access to assets, inputs, and technologies w hich also, conversely, require that the technologies w e are developing respond to potent ially differing needs and roles of men and w omen. We w ill w ork to expand the involvement and part icipat ion of w omen in decision-making at all levels and in all inst itut ions, including those dedicated to research and extension. FTF w ill advance w omen’s leadership in science and technology through proact ive recruitment, mentoring, and targeted research support .

3. What will we do? Purpose-driven Research. Three research themes have been ident if ied to advance food security and development in service of the broader object ives of Feed the Future. These three themes join together in the concept of sustainable intensif icat ion:

Advancing the productivity frontier: Improving food availability is underscored in this research theme. While better management pract ices can reduce the prevailing yield gaps in many developing countries, product ivity gains necessary to meet future food demand (under limited resources and w ith potent ially adverse impacts from climate change) require developing new seeds and livestock breeds that push the product ivity front ier to the next level. A focus of the FTF research strategy w ill be on breeding and genet ics for major crops and livestock, vaccine development for livestock diseases, and better management policies and pract ices for f ish (both capture f isheries and aquaculture) to increase the yield potent ial and provide solut ions for major product ion constraints. To more effect ively integrate the use of these technologies among poor farmers, research under this theme w ill encompass socio-behavioral and economic factors related to technology adopt ion including analysis of incent ive structures and policies.

Transforming Production Systems: Sustainable intensif icat ion places the agricultural research agenda into a broader context, spanning biophysical, policy and social elements of key product ion systems w here the poor and undernourished are concentrated. Combined w ith research on natural resources at the systems level, this priority area emphasizes the integrat ion of research advances (e.g., those from priority area 1) w ithin product ion systems w here poverty and malnutrit ion are concentrated. It also focuses on natural and social science research to examine impacts, part icularly interact ion effects, of component technologies to increase systems-level product ivity and sustainability. Research w ithin the systems context w ill contribute to improved stability of food product ion, incomes, and farmer resilience. Key opportunit ies include research on soil fert ility, w ater and nutrient policy and use, aquaculture and f isheries policy and management, producer safety nets, conservat ion agriculture, input and output markets, and trade. Many of these areas offer signif icant opportunit ies for increasing eff iciency and reducing risk.

Enhanced nutrition and food safety: This theme emphasizes the importance of ensuring that agricultural systems contribute to nutrit ion and health goals. This theme w ill focus on opportunit ies to improve availability and access to a high quality diet , part icularly for w omen and young children. Through targeted research in the natural and social sciences, w e w ill focus agricultural systems on improving nutrit ion through diversif icat ion of production systems, enhancing dietary diversity and nutrient density of foods and reducing postharvest losses. This theme w ill also improve ut ilizat ion of food through attent ion to food safety challenges w ith a focus on reducing contaminants in the food supply. Research priorit ies in this theme are integrally linked to the f irst tw o

29

themes thereby leveraging those investments to ensure the dual focus on improving nutrit ion and reducing poverty.

Feed the Future “Focus” Countries and Regions (as of Jan. 2014) include: (http://w w w .feedthefuture.gov/countries) Bangladesh Cambodia Asia Regional (RDMA) Ethiopia Ghana Central America and Mexico Regional Guatemala Hait i East Africa Regional Honduras Kenya Southern Africa Regional Liberia Malaw i West Africa Regional Mali Mozambique Nepal Rw anda Senegal Tajikistan Tanzania Uganda Zambia

B. AUTHORIZATION OF INTERNATIONAL TRAVEL The Standard Provision on Air Travel and Transportat ion states that internat ional t ravel, as provided for in the grant, must be approved by the USAID/W Agreement Off icer’s Technical Representat ive in w rit ing prior to the commencement of t ravel. Travel authorizat ion request must be submitted by the U.S. Lead Inst itut ion PI to the MO on the " Legume Innovat ion Lab Internat ional Travel Clearance Authorizat ion" form (see Appendix L) for ALL Legume Innovat ion Lab-paid travel w hich crosses ANY internat ional border. This includes all HC persons traveling internat ionally on Innovat ion Lab funds, including to the U.S. Only one copy of the form is needed and up to f ive travelers w ith a common travel it inerary may be included on a single form. For internat ional group travel (more than 5), a list of travelers can be attached to the form. If a trip requires Mission logist ical support or assistance, USAID/W must cable the Mission and receive their approval of the proposed travel. In this case, the form should be submitted to the MO 45 days in advance to give USAID/W t ime to contact the Mission. Travel Authorizat ion form is available to dow nload from the Legume Innovat ion Lab w eb page, http://w w w .legumelab.msu.edu/ . Completed Travel Authorizat ion Request forms should be faxed/email to the MO no later than 21 days prior to the date the travel is to begin. Earlier submission is highly recommended to allow suff icient t ime for processing by the MO and USAID. Please be reminded that airline t ickets and hotel reservat ions should not be purchased in advance of obtaining internat ional t ravel authorizat ion. The MO recognizes that it is not alw ays possible to schedule travel more than 21 days in advance; how ever, be aw are that anything less may result in a travel delay or cancellat ion. Travelers are encouraged to contact the Agriculture/General Development Off icer as soon as possible upon arrival in-country to maintain a congenial relat ionship w ith the USAID Mission and inform them of Innovat ion Lab act ivit ies. If the trip is not taken or dates of t ravel change, the MO must be informed so that a revised Travel Authorizat ion Request can be submitted and the revised travel authorized by USAID/W, and the USAID Mission can be not if ied. When completing the Travel Authorization form: 1. Be sure to indicate w hether or not each traveler has security clearance from the U.S.

Government. If the traveler has never been direct ly employed by the U.S. Government, the answ er w ill nearly alw ays be "No."

2. In indicat ing inclusive travel dates, be as specif ic as possible but consider them to be thresholds of t ime rather than precise departure dates.

3. List all countries to be visited and indicate dates visiting each, if travel encompasses more than one internat ional dest inat ion.

4. Be specif ic and informative about purpose of travel and, if certain stops on the it inerary vary in purpose, indicate the mult iple purposes for each site visit . Travel must be related to Legume Innovation Lab activities.

30

5. Name each Innovat ion Lab-related person, their t it le, and off ice/associat ion that you w ill contact on this visit . This w ill allow the Mission to contact you if an emergency arises.

6. The U.S. Lead Inst itut ion PI must sign all forms. Use of Legume Innovation Lab Funds for Technical/Professional Interchange The policy regarding the use of Innovat ion Lab funds to attend technical/professional meetings is established in the Mandatory Standard Provisions for U.S., Nongovernmental Recipients, 22 CFR Part 226, and OMB Circular No. A-21. The policy is summarized here for your guidance: 1. Professional interchanges, including the exchange of visits and staff , w orkshops and

seminars, and seeking occasions to consult w ith and involve others professionally and technically, are encouraged.

2. Costs of meetings and conferences, w hen the primary purpose is the disseminat ion of technical information, are allow able. This includes the cost of meals, t ransportat ion, rental of facilit ies and other items incidental to such meetings or conferences.

3. Funds for these purposes should be specif ically included, programmed for, and explicit in annual budgets.

4. Use of Legume Innovat ion Lab funds for such travel w ill be subject to policies of the part icipat ing inst itut ions in addit ion to those guidelines established by USAID/W.

C. EQUIPMENT PURCHASES All equipment purchases require specif ic approval. 22 CFR Part 226 def ines equipment as " an art icle of non-expendable tangible personal property having a useful life of more than one year and an acquisit ion cost of $5,000 or more per unit ." The specif ic language of 22 CFR Part 226 and discussions w ith the USAID/W Grant Off icer have been used to prepare the " Legume Innovat ion Lab Equipment Authorizat ion and Request to Purchase" form (Equipment form) (Appendix M). This form must be prepared and submitted to the MO for all equipment purchases. Equipment items should be specif ically ident if ied in the original proposal budget and in subsequent annual project budgets. If equipment had not been budgeted, an explanat ion of w here the funding is coming from for the equipment is required, i.e., reducing internat ional t ravel to purchase equipment. If either the probable country source or the probable country origin are not U.S., a Source/Origin Waiver is required. This fact must be noted on the front of the Equipment form and the Just if icat ion Sect ion on the back must be completed to just ify the w aiver. It is important to alw ays complete the Discussion Sect ion on the back of the Equipment form, w hether or not a Source/Origin Waiver is required. One copy of the completed Equipment form should be sent to the MO w here it w ill be review ed by the MO Director/Deputy Director to conf irm that the item requested supports research on ident if ied project object ives. It w ill then be sent to the USAID/W Agreement Off icer’s Representat ive for their approval and forw arded to the USAID Off ice of Procurement for f inal approval. This approval w ill be transmit ted in w rit ing to the MO, w hich w ill forw ard copies to the U.S. PI and the designated Contracts and Grants Of f icer at their respect ive university. THE MO WILL NOT PROCESS EQUIPMENT PURCHASE AUTHORIZATION REQUESTS FOR ITEMS ALREADY PURCHASED. Without prior USAID/W approval for purchase, equipment costs w ill be disallow ed by Federal auditors. These costs w ill then be borne by the U.S. Lead Inst itut ion or that ent ity or individual responsible for authorizing the purchase. At the end of the project, disposit ion of all equipment purchased is regulated by federal guidelines. Equipment must be returned to USAID, purchased at market prices by the local inst itut ion or others, or retained for use w ithin another USAID project. Ow nership remains w ith USAID unless purchased.

31

D. BRANDING STRATEGY AND MARKING PLAN In accordance w ith Acquisit ion and Assistance Policy Direct ive Marking Under Assistance Instruments (AAPD 05-11), the Legume Innovat ion Lab ME and all the part icipat ing U.S. and HC inst itut ions w ill implement the follow ing Branding Strategy and Marking Plan, based upon approval by USAID.

1. Branding Strategy The program is off icially designated the “ Feed the Future Innovat ion Lab for Collaborat ive Research on Grain Legumes.” The off icial shortened version of the name w ill be “ Legume Innovat ion Lab” . The program and its subcomponents w ill use the USAID ident ity in program deliverables, as indicated in the Marking Plan below , w hether part ially or fully funded by USAID. The Legume Innovat ion Lab w ill w ork w ith the communicat ions off ices of Michigan State University College of Agriculture and its counterparts in the various US and host country inst itut ions to ensure that the Legume Innovat ion Lab and USAID are featured in communicat ions w ith the appropriate branding and marking. The USAID ident ity w ill be portrayed in local languages, w hen an off icial t ranslated version is available at http://w w w .usaid.gov/branding. When tw o or more funding inst itut ions are cited, the USAID ident ity w ill be as large if not larger than the ident it ies for other inst itut ions. In accordance w ith USAID guidance, letterhead used to hire/f ire staff , rent off ice space or equipment, book hotel rooms or transportat ion, or other similar communicat ions by the MO w ill not include the USAID Ident ity. How ever, materials produced to communicate or promote the Legume Innovat ion Lab, including invitat ions to events, letter to ministries, press materials, etc. w ill include the USAID Ident ity.

2. Marking Plan

a. Description of Program deliverables. The program deliverables of the Legume Innovat ion Lab w ill include:

a. Public communicat ions such as “ request for proposals” (RFPs) and program w ebsite b. Program materials (e.g., brochures, videos, program briefs, w eb page) c. Technical reports (e.g., technical research progress reports, technical reports, w orking papers) d. Peer review ed publicat ions (e.g., professional journals) e. Program events (e.g., planning meetings, stakeholder meetings, conferences, w orkshops) f . Training materials (e.g., extension materials, short course materials) g. Technical materials (e.g., seed packages) h. Degree programs completed by trainees i. Equipment purchased to build inst itut ional research capacity (e.g., vehicles, laboratory equipment)

b. Marking of Program Deliverables: All the Legume Innovat ion Lab supported act ivit ies must mark the program deliverables result ing during the program performance period in accordance w ith the guidelines provided in the follow ing Table.

Type of deliverables

Type of Marking Materials for Marking

When to be Marked Where Mark will be placed

Public communicat ions, including Website

USAID ident ity Digital and hard copies

As outputs are generated

Front cover, top right (w hen applicable)

Program materials (except

USAID ident ity and acknow ledgement statement

Reports Continuing On front page for Ident ity; for Acknow ledgements,

32

publicat ions in professional journals)

w ith f irst page after t it le page or w ith Table of Contents or under Acknow ledgements page

Publicat ions in professional journals

Acknow ledgement statement

Digital and hard copies

At t ime of publicat ion

In Acknow ledgements (generally on front page or f irst page after t it le)

Pow er points and other presentat ions

USAID Ident ity Digital and hard copies

Prior to presentat ion On front page and last page of presentat ions

Technical materials

USAID ident ity Ink or labels

When packaged or distributed

On outside of packaging

Program events USAID ident ity and acknow ledgement statement

Ink, digital print ing

As events occur On banners, folders, other materials distributed

Type of marking: All the public communicat ions, program materials and events funded by the Legume Innovat ion Lab w ill visibly bear the USAID ident ity (logo w ith the w ords “ From the American People” ) in the appropriate language. USAID w ill be acknow ledged in publicat ions, videos, w eb pages or other information/media products funded in w hole or in part through the Legume Innovat ion Lab. The acknow ledgement w ill read:

This [publicat ion, video, w eb pages or other information/media product (specify)] w as made possible through support provided to the Feed the Future Food Security Innovat ion Lab: Collaborat ive Research on Grain Legumes by the Bureau for Economic Grow th, Agriculture, and Trade, U.S. Agency for Internat ional Development, under the terms of Grant No. EDH-A-00-07-00005-00. The opinions expressed herein are those of the authors and do not necessarily ref lect the view s of the U.S. Agency for Internat ional Development or the U.S. government.

Placement of the marking: The USAID ident ity w ill be placed on the top or bottom of the front or back cover and/or f irst inside t it le page of Legume Innovat ion Lab research publicat ions, and in a similar locat ion in videos or other information/media products. The ident ity w ill be similarly located and of similar size and appearance as co-sponsors or authorizing inst itut ions. The USAID acknow ledgement w ill be placed on the bottom of the front cover or on the f irst inside t it le page of research publicat ions. To ensure that this requirement for acknow ledgment language and USAID ident ity mark is correct ly follow ed, all publicat ions and media releases (including brochures, w orkshop proceedings, monograms, books, videos, Internet w eb pages) funded in w hole or in part through the Legume Innovat ion Lab w ill be sent by subcontract ing inst itut ions to the Management Off ice (MO) for review and approval prior to publishing. The MO w ill review these materials prior to publishing to ensure that each publicat ion or other output complies w ith the follow ing condit ions:

It contains the required information on naming and posit ioning of the USAID logo and acknow ledgement, w here applicable.

It promotes and communicates to cooperat ing country benef iciaries and cit izens that the Legume Innovat ion Lab is a USAID-funded program and that it is “ From the American People.”

It is consistent w ith the Legume Innovat ion Lab’s program object ives. Performance period: The program deliverables w ill be marked at the t ime of print ing (for printed materials) or prior to their release to the public (for the w eb page, video clips, and other media). Equipment purchased by the Legume Innovat ion Lab for capacity building

33

in host countries w ill be labeled at the t ime of receipt by the inst itut ion and prior to putt ing into operat ion.

c. Program Deliverables that will not be marked: The only deliverables that w ill not be marked w ith the USAID Ident ity w ill be the “ human resources” to be developed through this program (e.g., t rainees). How ever, any publicat ions that result from the direct support of the Legume Innovat ion Lab to a training program of a trainee (e.g., dissertat ion, thesis, research papers) w ill include the acknow ledgement of USAID.

d. Costs associated with the proposed marking plan. Given that the Legume Innovat ion Lab w eb site hosted on the MSU servers is on-going and that careful marking of earlier Pulse CRSP-related materials has alw ays been a feature of post ing these deliverables on the MSU w ebsite, the addit ional measures being proposed represent very low cost addit ions to prior standard operat ing procedures. There is a very low addit ional cost of this proposed plan. Resources for print ing hard copies of all cross-cutt ing reports are already included in the Legume Innovat ion Lab Leader Agreement budget, as are outreach meetings. There are minor administrat ive t ime requirements for adding USAID and Legume Innovat ion Lab ident it ies and acknow ledgements, w here applicable.

E. INTERNET USAGE FOR LEGUME INNOVATION LAB PURPOSES

To assure compliance w ith USAID guidelines on publicat ions and communicat ion products, and to maintain a standard of excellence, all Legume Innovat ion Lab funded w ebsites and other electronic applicat ions that involve the Internet must comply w ith the follow ing guidelines.

1. Compliance w ith USAID guidelines relat ive to Branding Strategy and Marking Plan, publicat ions and media releases as out lined in the previous sect ion.

2. Approval f rom the MO prior to releasing the w eb page or publishing an electronic applicat ion to ensure: a. The correct use of the Legume Innovat ion Lab logo, USAID logo, and their copyright

symbols. b. The accuracy of t it les of w eb pages or electronic publicat ions (e.g., new sletters,

brochures) and the ident ity of Legume Innovat ion Lab and its partnering U.S. and Host Country inst itut ions.

c. The consistency of formatt ing and quality among Innovat ion Lab w ebsites, and other electronic publicat ions.

d. The w ebsite/w eb-based publicat ion is linked w ith other appropriate Legume Innovat ion Lab w ebsites and databases on the Internet.

3. Permission from individuals appearing in photographs that might be posted, including Host Country scient ists and other individuals from Host Countries.

4. Permission from the ow ners of databases and other materials that might be used or posted on the w ebsite.

5. Compliance w ith requirements and guidelines set by the “ Source” for cit ing/using their data and other published materials on the w ebsite.

6. Compliance w ith regulat ions pertaining to publishing copyrighted materials in an electronic media.

F. DATA MANAGEMENT PLANS AND OPEN DATA ACCESS

In late 2014, ADS 579 on Open Data Access mandated that all Feed the Future programs comply w ith new requirements for ensuring open access to all data generated using US government funds. The f irst step is to complete the template for Data Management Plans as found in Attachment N. ADS 579 serves as a reference and is available on the USAID w ebsite. The completed documents w ill be

34

shared w ith USAID and as addit ional guidance becomes available, the data management plans w ill need to respond to request for edits, such that the Legume Innovation Lab is in compliance.

35

APPENDICES

36

APPENDIX A

SAMPLE COST-REIMBURSABLE SUBCONTRACT WITH LEAD U.S. UNIVERSITIES

SUBAGREEMENT NO. (Account number)

Between

MICHIGAN STATE UNIVERSITY

And

UNIVERSITY NAME

THIS SUBAGREEMENT is betw een Michigan State University, a nonprof it educational inst itut ion located at 301 Administrat ion Building, East Lansing, Michigan 48824, USA hereafter referred to as “ MSU” and UNIVERSITY NAME, hereafter referred to as “ LEAD INSTITUTION.” I. INTRODUCTION

This Subagreement is in considerat ion of the follow ing circumstances:

A. MSU, designated as the Management Entity (ME), is the recipient of a “ Leader With Associates” Cooperat ive Agreement from the United States Agency for Internat ional Development (USAID) aw ard No. EDH-A-00-07-00005 (hereinafter “ Prime Aw ard” ), for the implementat ion of the Dry Grain Pulses Collaborat ive Research Support Program (CRSP).

B. The Legume Innovation Lab is administered by the MSU Legume Innovation Lab Management

Off ice (MO) w ith technical input from the Technical Management Advisory Committee (TMAC) and substant ial involvement by the USAID designated Agreement Officer’s Technical Representat ive (AOR).

C. The LEAD INSTITUTION agrees that it w ill perform the services called for herein, and MSU

agrees that it w ill compensate the LEAD INSTITUTION in the amount and under the terms and condit ions enumerated in this Subagreement. MSU and the LEAD INSTITUTION further understand that this Subagreement consists of this document and the follow ing Appendices:

Appendix A: Standard Provisions for U.S. Nongovernmental Recipients; Required as

Applicable Standard Provisions for U.S., Nongovernmental Recipients Appendix B: Project Technical Descript ion Appendix C: Project Workplan for the first 12 months). Attached to the Workplan are

“ Semi-Annual Milestones of Progress” and “ Feed the Future Performance Indicators” forms

Appendix D: Contact Information Appendix E: Project Budget Appendix F: Host Country Inst itut ional Letters of Willingness to Partner in the Feed the

Future Collaborat ive Research on Grain Legumes.

Appendix G, Marking and Branding Plan for the Legume Innovation Lab Appendix H, Legume Innovation Lab Expense Report Template Appendix I, Legume Innovation Lab Internat ional Travel Authorizat ion Form Appendix J Legume Innovation Lab Request to Purchase Equipment Form

Appendix K, “ Report on the Semi-Annual Milestones of Progress"

37

Appendix L, “ Report on the Feed the Future Performance Indicators” ARTICLE 1 - STATEMENT OF WORK

The LEAD INSTITITION shall perform the act ivit ies and services described in the detailed project w orkplan submitted to the Legume Innovation Lab MO (for the obligat ion period XXXXX-XXXXX) and, incorporated and appended hereto as Appendix C. The actual performance of that w ork shall conform in all aspects and be limited to the project proposal (Technical and Cost Applicat ions) approved by the MO including:

A. Specif ic object ives of the project; B. Expected inputs, outputs, and performance indicators of t he project; C. Program and contractual relat ionships w ith designated collaborat ing U.S. and Host

Country Inst itut ion(s); D. Fiscal and managerial responsibilit ies of the project consistent w ith the requirements of the

prime aw ard; and E. Fiscal and administrat ive arrangements for the implementat ion of project act ivit ies at

Host Country and U.S. sites. Changes in any of the above w ork must be approved in w rit ing in advance by the MO to ensure adherence to Global Program Themes and Object ives, appropriate relat ionships betw een collaborat ing inst itut ions, and compliance as required under the terms of the Prime Aw ard. Art icle 2 - PERIOD OF SUBAGREEMENT

The period of performance of this Subagreement shall be from XXXXX through XXXXX, unless terminated earlier or extended by mutual w rit ten agreement of all part ies. Expenditures incurred prior to the beginning date or subsequent to the terminat ion date are unallow able. All expenditures paid w ith funds provided by this Subagreement must be incurred by the LEAD INSTITUTION in pursuit of project object ives that take place during this period unless otherw ise st ipulated. In the event of early terminat ion, the LEAD INSTITUTION shall be reimbursed for all allow able costs incurred to the date of terminat ion and for all allow able non-cancellable obligat ions, subject to availability of funds as described in XIV Terminat ion and Suspension. In the event the t ime prescribed herein should prove insuff icient for the LEAD INSTITUTION to carry out the project object ives provided herein, MSU may provide such extension of the period of the Subagreement as may be deemed appropriate. Any extension w ill be effect ive only upon the execution of an amendment to the Subagreement for this purpose. All requests for extensions must be received in w rit ing prior to the expirat ion date.

Art icle 3 - AMOUNT OF SUBAGREEMENT The total est imated amount of the Subagreement shall not exceed w rit ten amountUS Dollars (US$ XXXXX). MSU obligates the amount of w rit ten amount US Dollars (US$ XXXXX), as part ial funding of the total est imated amount as set forth above per the budget listed as Appendix E. The LEAD INSTITUTION may not exceed the total est imated amount or the obligated amount of this Subagreement, w hichever is less. Because this Subagreement is incrementally funded, funds obligated hereunder are only ant icipated to be suff icient for project expenditures through approximately Month Day, year. Revisions to the budget shall be made in accordance w ith 22 CFR 226.25 http://w w w .usaid.gov/pubs/ads/22cfr226.doc and Art icle V of this Subagreement. Subagreement budgets by inst itut ional allocat ions for each Workplan periods of this project, as approved by the Legume Innovation Lab MO, are presented in Appendix E. Addit ional funds up to the total amount of this Subagreement may be obligated by MSU subject to incremental obligat ions from USAID, sat isfactory progress of the project, and relevance of act ivit ies to Legume Innovation Lab program goals. Art icle 4 - ALLOWABLE COSTS

38

A. For performance of this Subagreement, MSU shall reimburse the LEAD INSTITUTION for allow able costs that are reasonable, allocable and allow able in accordance w ith the terms of (1) this Subagreement, (2) OMB Circular A-21, “ Cost Principles for Educational Inst itut ions” in effect on the date of this Subagreement and all subsequent revisions, http://w w w .w hitehouse.gov/omb/circulars/a021/a021.html, (3) OMB Circular A-110, “ Uniform Administrat ive Requirements for Grants and Agreements With Inst itut ions of Higher Education, Hospitals, and Other Non-Prof it Organizat ions” in effect on the date of this Subagreement and all subsequent revisions, http://w w w .w hitehouse.gov/omb/circulars/a110/a110.html, (4) 22 CFR226 in effect on the date of this Subagreement and all subsequent revisions, http://w w w .usaid.gov/pubs/ads/22cfr228.doc.

B. Funds budgeted for equipment may not be expended w ithout the prior w rit ten approval

of the MO (See Appendix I for a Request to Purchase Equipment Form). Note that to be classif ied as equipment, individual items must have a useful life of more than one year and cost $5,000 or more per item.

C. Funds budgeted for expenditures in or on behalf of a Host Country Inst itut ion may not

be rebudgeted to the LEAD INSITUTION or to another Host Country Inst itut ion w ithout the prior approval of the MO.

D. Funds budgeted for training may not be rebudgeted w ithout the prior w rit ten approval of

the MO.

E. Except for B, C, and D above, line items w ithin the total approved budget may be adjusted, as reasonable and necessary, w ithout the prior approval of MSU and the MO.

F. When approved by the MO, amounts unexpended at the end of t he budget year may be carried forw ard to the subsequent budget year w ithin the period of performance of this Subagreement for expenditure on act ivit ies consistent w ith the approved w orkplan for that period.

G. Indirect costs are allow able according to LEAD INSTITUTION’S Negotiated Indirect Cost

Rate Agreement (NICRA).

H. Costs must be incurred in accordance w ith LEAD INSITUTION’S established policies and procedures provided such policies and procedures promote the best interest of the project conducted under this Subagreement.

I. Only those expenses incurred in accordance to the budget and during the period of the

Subagreement may be reimbursed.

J. Upon request by MSU, the LEAD INSTITUTION shall refund any amounts determined to be unallow able expenditures as a result of an audit by MSU or the Federal Government. The LEAD INSTITUTION, how ever, shall have the right to establish allow ability of any such item of cost under this Subagreement.

ARTICLE 5 – PAYMENT The LEAD INSTITUTION must submit invoices for reimbursement at least quarterly but no more than monthly. Invoices shall indicate the period covered and provide detail commensurate w ith that appearing in the LEAD INSTITUTION’S budget. The invoices must be supported by an original and tw o copies of a cert if ied expense report in accordance w ith Appendix G. The invoices must be in English, shall be numbered sequentially, shall reference Subagreement RC XXXXXX, and shall be cert if ied correct by the responsible f inancial off icial of the LEAD INSTITUTION. Invoices w ill not be paid unless accompanied by an expense report.

A FINAL invoice and expense report shall be submitted w ithin forty f ive (45) days after the end of the period of the Subagreement indicated in ARTICLE III and it shall be marked “ FINAL.” The FINAL invoice shall be used as the f inal report of expenditures for the LEAD INSTITUTION and it shall contain a summary of expenses, by budget category itemized in Appendix E and the f inal amount of Cost Share reported. In no event shall the f inal billing of funds exceed the Subagreement amount specif ied in Art icle

39

IV - AMOUNT OF SUBAGREEMENT. Invoices and expense reports shall be submitted to:

Ms. Angelica Santos Center for Global Connections Legume Innovation Lab 321 Agriculture Hall Michigan State University East Lansing, MI 48824 USA

E-mail: santosa@msu.edu ARTICLE 6 – COST SHARING The LEAD INSTITUTION, for each year of performance, shall assure that expenditures from non-Federal funds equal or exceed 15 percent of the Federal funds provided by MSU/USAID. These expenditures w ill exclude obligat ions made to or on behalf of Host Country Inst itut ions under Subagreements in furtherance of grant object ives. Prior and subsequent year' s non-Federal contribut ions in excess of the aforesaid 15 percent, if any, may be applied to compensate for any year' s shortfall. Cost sharing w ill be in accordance w ith OMB Circular A-110 (as periodically updated), Subpart C, Sect ion .23, http://w w w .w hitehouse.gov/omb/circulars/a110/a110.html ARTICLE 7 – WORK PLANS AND TECHNICAL REPORTS The LEAD INSTITUTION shall prepare and submit Workplans and technical reports to the Legume Innovation Lab MO in such form and reasonable detail as prescribed by the Legume Innovation Lab MO and the prime aw ard.

A. WORKPLANS shall be in accord w ith instruct ions from the Legume Innovation Lab MO. B. INTERIM REPORTS (w hich include Report on the Semi-Annual Milestones of Progress, and

Feed the Future Performance Indicators, and Annual Technical Progress Reports) under this Subagreement shall be in accord w ith instruct ions from the Legume Innovation lab MO.

C. FINAL REPORTS under this Subagreement shall be in accord w ith instruct ions from the Legume Innovation Lab MO and w ill be submitted to the MO w ithin 45 days follow ing the end of the period of performance of this Subagreement.

Workplans and technical reports shall be submitted to:

Dr. Irvin Widders Center for Global Connections Legume Innovation Lab 321 Agriculture Hall Michigan State University East Lansing, MI 48824 USA

E-mail: idders@msu.edu

ARTICLE 8 - SUBORDINATE AGREEMENTS

The LEAD INSTITUTION' S intent ion to enter into a subordinate agreement (either w ith a U.S. or a non-U.S. inst itut ion) for any of the w ork to be performed under this Subagreement must be ident if ied in the LEAD INSTITUTION' S detailed annual project w orkplan (Appendix C) and the detailed project budget w hich require MO approval (Appendix E). Any deviat ion from this condit ion requires the prior w rit ten approval of the MO.

All subordinate agreements w ith a Host Country inst itut ion/s MUST be in the form of a “ Fixed Price Contract” that have the follow ing required sect ions:

a) Frequency of payments: payments corresponding to predetermined deliverables. b) Amount of each incremental payment (f irst payment MUST not be less than 50%)

40

c) Dates of payments d) Deliverables to release the f irst and subsequent payments (w orkplan, and “ Report on the

Semi- Annual Milestones of Progress” ) A fully signed copy of any “ Fixed Price Contract” under this Subagreement must be provided to the MO w ithin 30 days of the start date of such a contract. For those LEAD INSTITUTIONS w hich have requested MSU’s administrat ion/management of the Fixed Price Contract(s) w ith their collaborat ing Host Country Inst itut ion(s) per the Technical Applicat ion (Appendix B), the lead U.S. PI w ill st ill have full responsibility for the implementat ion of the technical aspects of the project. This includes collaborat ion on research, outreach and training act ivit ies in achievement of established project object ives and benchmarks, communicat ing to Host Country inst itut ions expectat ions of deliverables, review of deliverables (e.g., Appendix K) to ensure sat isfactory progress, and providing the MO w ith the necessary documentat ion to authorize payments to Host Country inst itut ion(s). The LEAD INSTITUTION w ill make certain that any subordinate agreement that it may enter into for the performance of any part of this Subagreement w ill include the same terms and condit ions regarding f inancial, property and operat ional report ing requirements as those to w hich the LEAD INSTITUTION is subject under the terms and condit ions of this Subagreement. No subordinate agreement entered into by the LEAD INSTITUTION can release it f rom any obligat ion, responsibility or liability to MSU under this Subagreement . ARTICLE 9 - AUTHORIZED GEOGRAPHIC CODES The authorized geographic code for procurement of goods and services under this Subagreement is Code 000 (United States). ARTICLE 10 - TRAVEL Travel must make use of US carriers as indicated in the Standard Provisions attached hereto. Internat ional Travel Authorizat ion Forms (Appendix I) must be submitted to the Management Off ice a minimum of tw enty one (21) days prior to the departure date. ARTICLE 11 - AUDIT REPORTS MSU and its authorized representat ive(s) may audit the invoices or vouchers. Each payment shall be subject to reduct ion and refund to MSU for amounts included in the related invoices or vouchers, w hich are found, on the basis of such audit , to const itute unallow able costs. If any audit of the LEAD INSTITUTION’S records reveals that the LEAD INSTITUTION has not met its cost-sharing obligat ions w ith non-Federal funds under this Subagreement, MSU is authorized to request refund of a proport ionate amount of expenditures. The LEAD INSTITUTION agrees to comply w ith the requirements of OMB Circular A -133, Audits of Inst itut ions of Higher Education and Other Nonprof it Inst itut ions in effect on the date of this Subagreement and all subsequent revisions, http://w w w .w hitehouse.gov/omb/circulars/a133/a133.html. The LEAD INSTITUTION further agrees to provide MSU w ith copies of any of the independent auditor' s reports, w hich present instances of non-compliance w ith federal law s and regulat ions, w hich bear direct ly on the performance, or administrat ion of this Agreement. In cases of such non-compliance, the LEAD INSTITUTION w ill provide copies of responses to auditors' reports and a plan for correct ive act ion. All records and reports prepared in accord w ith the requirements of OMB Circular A-133 as appropriate shall be available for inspect ion by representat ives of MSU, USAID or the U.S. Federal Government during normal business hours. ARTICLE 12 - RECORDS The LEAD INSTITUTION w ill maintain adequate f inancial records, in accordance w ith generally accepted accounting pract ices to clearly and easily ident ify expenses of the Subagreement, to describe the nature of each expense and to establish relatedness to this Subagreement. All records, books, documents and papers related to the project conducted under this Subagreement shall be available upon request at all reasonable t imes to inspect ion and audit by MSU, U.S. Agency for Internat ional Development, and by the National Science Foundation (MSU’s cognizant Federal audit agency inspect ion or their authorized representat ives). These records w ill be retained for a period of three (3) years, w ith the follow ing qualif icat ions:

41

A. If any lit igat ion, claim, negotiat ion, audit or other act ion involving the records has been started before the end of the 3-year period, the records shall be kept unt il all issues are resolved, or unt il the end of the regular 3 -year period, w hichever is later.

B. The retent ion period starts from the date of the submission of the LEAD INSTITUTION’S f inal invoice.

ARTICLE 13 - TERMINATION AND SUSPENSION A. Terminat ion for Cause - This Subagreement may be terminated in w hole or in part at any

t ime before the date of complet ion, w henever it is determined that the LEAD INSTITUTION has failed to comply w ith the condit ions of the Subagreement. MSU shall promptly not ify the recipient in w rit ing of the determinat ion and reasons for the terminat ion, together w ith the effect ive date. Payments made to the LEAD INSTITUTION or recoveries by the Federal sponsoring agency under grants or other Subagreements terminated for cause shall be in accordance w ith the legal rights and liabilit ies of the part ies.

B. Terminat ion for Convenience - This Subagreement may be terminated in w hole or in part

w hen the cont inuat ion of the project w ould not produce beneficial results commensurate w ith the further expenditure of funds. The tw o parties shall agree upon the terminat ion condit ions, including the effect ive date and, in the case of part ial terminat ions, the port ion to be terminated. The LEAD INSTITUTION shall not incur new obligat ions for the terminated port ion after the effect ive date, and shall cancel as many outstanding obligat ions as possible.

C. Terminat ion or Suspension for Changed Circumstances. If at any t ime USAID or MSU

determines that cont inuat ion of all or part of the funding for a project should be suspended or terminated because such assistance w ould not be in the nat ional interest of the United States or w ould be in violat ion of an applicable law , then MSU, may, follow ing not ice to the LEAD INSTITUTION, suspend or terminate this Subagreement in w hole or part and prohibit LEAD INSTITUTION from incurring addit ional obligat ions chargeable to this Subagreement other than those costs specif ied in the not ice of suspension during the period of suspension. If the situat ion causing the suspension cont inues for sixty (60) days or more, then MSU may terminate this grant on w rit ten not ice to the LEAD INSTITUTION and cancel the port ion of this Subagreement w hich has not been disbursed or irrevocably committed to the LEAD INSTITUTION.

D. Terminat ion Procedures. Upon receipt of and in accordance w ith a terminat ion not ice as

specif ied in A. or B. above, the LEAD INSTITUTION shall take immediate act ion to minimize all expenditures and obligat ions f inanced by this Subagreement and shall cancel such unliquidated obligat ions w henever possible. Except as provided below , no further reimbursement shall be made after the effect ive date of terminat ion. The LEAD INSTITUTION shall w ithin thirty (30) calendar days after the effect ive date of such terminat ion repay to MSU all unexpended funds w hich are not otherw ise obligated by a legally binding transact ion applicable to this Subagreement. Should the funds paid by MSU to the LEADINSTITUTION prior to the effect ive date of the terminat ion of this Subagreement be insuff icient to cover the LEAD INSTITUTION’S obligat ions in the legally binding t ransact ion, the LEAD INSTITUTION may submit to MSU w ithin sixty (60) calendar days after the effect ive date of such terminat ion a w rit ten claim covering such obligat ions. The MSU grant off icer shall determine the amount(s) to be paid by MSU to the LEAD INSTITUTION under such claim in accordance w ith the applicable cost principles.

ARTICLE 14 – DISPUTES Conflicts betw een any of the Appendices of this Subagreement shall be resolved by applying the follow ing descending order of precedence:

This Subagreement Appendix A – Mandatory Standard Provisions Appendix B – Project Technical Descript ion

Except as otherw ise provided in this Subagreement, all claims, counter-claims, disputes and other matters in quest ion betw een MSU and the LEAD INSTITUTION arising out of or relat ing to this

42

Subagreement or the breach thereof may be decided by arbitrat ion if the part ies hereto mutually agree, or in a court of competent jurisdict ion.

ARTICLE 15 – LIABILITY Each party to this Subagreement must seek its ow n legal representat ive and bear its ow n costs, including judgments, in any lit igat ion that may arise from performance of this Subagreement. It is specif ically understood and agreed that neither party w ill indemnify the other party in such lit igat ion. ARTICLE 16 – ASSURANCES

Debarment and Suspension. LEAD INSTITUTION cert if ies that neither it nor its principles are presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from part icipat ion in this transact ion by any US Federal department or agency. By signing this Subagreement, the LEAD INSTITUTION makes this cert if icat ion.

Lobbying. LEAD INSTITUTION agrees to comply w ith the requirements of OMB Circular A -21, Principles For Determining Cost Applicable to Grants, Contracts, and Other Agreements w ith Educational Inst itut ions, regarding lobbying. By signing this Subagreement, the LEAD INSTITUTION, makes this cert if icat ion.

Delinquent Federal Debt. LEAD INSTITUTION cert if ies that it is not delinquent on the repayment of any U.S. Federal debt.

Drug-Free Workplace. LEAD INSTITUTION cert if ies that it w ill provide a drug-free w orkplace. Clean Air Act and the Federal Water Pollut ion Control Act . LEAD INSTITUTION agrees to comply w ith all applicable standards, orders or regulat ions issued pursuant to the Clean Air Act (42 U.S.C. 7401 et seq.) and the Federal Water Pollut ion Control Act (33 U.S.C. 1251 et seq.), as amended. Violat ions shall be reported to MSU, USAID and the Regional Off ice of the Environmental Protect ion Agency (EPA). ARTICLE 17 – INDEMNIFICATION

The LEAD INSTITUTION shall, to the extent of its liabilit ies under the law s of the state of Michigan, indemnify, defend and hold harmless MSU for any and all loss, damage, claims, act ions and suits w hatsoever including all costs, expenses, and attorney’s fees incurred by the LEAD INSTITUTION in connect ion therew ith that arises out of the LEAD INSTITUTION’S negligence or other legal w rong -doing in any w ay connected w ith act ivit ies under this Subagreement. The LEAD INSTITUTION agrees to give MSU immediate not ice of any claim, act ion or suit in any w ay connected w ith act ivit ies under this Subagreement.

ARTICLE 18 - AMENDMENTS All mutually agreed upon changes to this Subagreement must be processed through the MSU Off ice of Contract and Grant Administrat ion at the follow ing address: Ms. Diane Cox Contract and Grant Administrator Michigan State University Contract and Grant Administrat ion

Room 301 Administ rat ion Bldg. East Lansing, Michigan 48824 Telephone: 517-355-5040 x 243 Fax: 517-432-8035 coxd@cga.msu.edu

ARTICLE 19 – TITLE TO PROPERTY Tit le to property including equipment, acquired hereunder shall vest in the LEAD INSTITUTION, subject to the requirements of 22 CFR Part 226, http://w w w .usaid.gov/pubs/ads/22cfr226.doc, regarding the use, accountability, and disposit ion of such property.

43

Purchase of equipment and vehicles (vehicle is def ined as an item having a motor, seat(s) and w heels) requires prior approval of the MO. See Appendix J for a Request to Purchase Equipment form. ARTICLE 20 – PATENTS AND INVENTIONS The Department of Commerce regulat ions ent it led “ Rights in Inventions Made by Nonprof it Organizat ions and Small Business Firms” set forth in 37 CFR Part 401 and CIB 99-19 shall govern rights, t it le, disclosure, f ilings, etc., of any invention result ing from the w ork performed by the LEAD INSTITUTION hereunder. The LEAD INSTITUTION agrees to comply w ith and to be bound by the terms and condit ions of these patent regulat ions.

If necessary, a separate Research Agreement may be negotiated betw een MSU and the LEAD INSTITUTION.

ARTICLE 21 - CARE OF LABORATORY ANIMALS If the Standard Provision ent it led “ Care of Laboratory Animals” (Appendix A) applies to this Subagreement, LEAD INSTITUTION shall include the cert if icate required by paragraph (c) of said Standard Provision in all of its reports w hich pertain to the use of laboratory animals.

ARTICLE 22 - USE OF HUMAN SUBJECTS If the Standard Provision ent it led “ Protect ion of the Individual as a Research Subject” applies to this Subagreement (see Sect ion 7, Required as Applicable Standard Provisions for U.S. Nongovernmental Recipients, included as Appendix A), the LEAD INSTITUTION shall provide w rit ten assurance that it w ill abide by this policy for all research involving human subjects supported by MSU and USAID. The LEAD INSTITUTION w ill submit this w rit ten assurance w ith the Legume Innovation Lab Expense Report Template (Appendix H) for the period ending September 30 for each year of this project. ARTICLE 23 - TRAINING Part icipant training under this Subagreement is to be conducted according to Art icle 5 of the Required Applicable Standard Provisions for U.S., Nongovernmental Recipients attached hereto as Appendix A. Part icipant Training under this aw ard shall comply w ith the policies established in ADS 253, “ Part icipant Training.”

The PI must provide the MO w ith a yearly summary of all t raining act ivit ies as per the instruct ions by Legume Innovation Lab MO.

ARTICLE 23 – PUBLICATIONS Provided that any publication is f irst offered to Michigan State University, LEAD INSTITUTION shal l have the unrestricted right of publicat ion w ith reference to its act ivit ies and findings in connect ion w ith the program. USAID and MSU retain a royalty-free-non-exclusive and irrevocable right to reproduce, publish, translate or otherw ise use, and to authorize others to use such material for internal, non-commercial research purposes.

LEAD INSTITUTION w ill ensure that the terms of this Agreement are agreed to by all persons w ho perform any part of the work under this Agreement and w ho may be reasonably expected to develop intellectual property.

LEAD INSTITUTION w ill ensure that all such part ies w aive any rights to block release, disseminat ion, or publicat ion of any results from the project. The LEAD INSTITUTION w ill supply MSU w ith three hard copies plus an electronic copy if available of each publicat ion funded in part or w hole, from this project.

The LEAD INSTITUTION hereby agrees to comply w ith the AAPD 05-11 “ MARKING UNDER ASSISTANCE INSTRUMENT” . For a complete review of this policy please visit : ht tp://w w w .usaid.gov/business/business_opportunit ies/cib/pdf/aapd05_11.pdf and the attached Appendix F (Marking and Branding Plan for the Legume Innovation Lab). ARTICLE 25 – ANTI-TERRORISM

LEAD INSTITUTION is reminded that U.S. Executive Orders and U.S. Law prohibit t ransact ions

44

w ith, and the provision of resources and support to, individuals and organizat ions associated w ith terrorism. It is the legal responsibility of the LEAD INSTITUTION to ensure compliance w ith t hese Executive Orders and laws. This provision must be included in all Low er t ier Subagreements issued under this Subagreement. A list of individual and organizat ional names that are the subject of this Executive Order can be found at the w eb site of the Off ice of Foreign Assets Control (OFAC) w ithin the U.S. Department of Treasury. The address for this w eb site is http://t reasury.gov/ofac ARTICLE 26 - PARTIAL INVALIDITY If any provision of this Subagreement or the applicat ion thereof to any person or circumstance, shall to any extent be invalid or unenforceable, the remainder of the Subagreement or the applicat ion of such provision to persons or circumstances other than those to w hich it is invalid or unenforceable shall be unaffected thereby and each provision of the Subagreement shall be valid and enforceable to the fullest extent permitted by law .

ARTICLE 27 - COMPLIANCE WITH LAWS

The LEAD INSTITUTION agrees to comply w ith all law s, statues, regulat ions, rulings or enactments of any Governmental authority that are applicable to the w ork described in Appendix C of this Subagreement or w hich in any w ay pertain to said w ork.

ARTICLE 28 - KEY PERSONNEL The Principal Invest igator of this project is Name from the LEAD INSTITUTION. The Principal Invest igator for MSU is Dr. Irvin Widders. The Principal Invest igators are not authorized to change any element of this Subagreement. All changes shall be consummated by formal w rit ten amendment and processed according to Art icle XIX.

If Name ceases to serve as Principal Invest igator of this project, the decision as to cont inuance of this Subagreement w ill be made by MSU on the basis of information supplied by the LEAD INSTITUTION.

ARTICLE 29 - ENVIRONMENTAL IMPACT REPORTS If it appears that outputs of this project w ill result in an adverse environmental impact, the LEAD INSTITUTION shall not ify MSU prior to implementat ion, in order to allow for orderly preparat ion of an environmental impact statement in accordance w ith Tit le 22 of the Code of Federal Regulat ions Part 216, commonly know n as 22 CFR 216. The LEAD INSTITUTION shall assure that appropriate U.S. Government, USAID, and/or host country procedures are follow ed. Regarding use of innoculants, the follow ing condit ions apply : • Compliance w ith host country phytosanitary and import compliance for inoculum import • Procurement/provision of high-quality inoculum (quality cert if ied to a recognized internat ional standard) in a sterile carrier • No GMO strains or strains selected for ant ibiot ic resistance. ARTICLE 30 – FORCE MAJEURE Should the LEAD INSTITUTION be delayed or prevented, in w hole or in part , from performing any obligat ions or condit ions hereunder or from exercising its rights by reason of or as a result of any Force Majeure, the LEAD INSTITUTION shall be excused from such obligat ions or condit ions and the term of this Subagreement shall be extended at no addit ional cost to ME and cont inued w hile the LEAD INSTITUTION is so delayed or prevented. The term “ Force Majeure” as used herein means acts of God, strikes, lockouts, or other industrial disturbances; act of public enemies, blockades, w ars, insurrect ions, or riots; epidemics, landslides, earthquakes, f ires; storms droughts; f loods or w ashouts; arrest, t it le disputes, or other lit igat ion; governmental restraint, either state, civil or military, civil disturbances; explosions, inability to obtain necessary materials, supplies, labor, or permits due to exist ing or future rules, regulat ions, orders, law s, or proclamations, either state, civil, or military; and other causes beyond the reasonable control of the party so delayed.

45

LEAD INSTITUTION w ill use its best efforts to avoid the cause(s) of such delay, shall give w rit ten not ice of any such delay to MSU as soon as pract icable, and shall resume its performance promptly after the removal or cessat ion of the cause(s) of delay. In the event that excusable delay shall cont inue for a period of more than three (3) consecutive months, then either party may at anyt ime after that period terminate this agreement upon w rit ten not ice to the other party w hile the cause(s) of delay cont inue.

ARTICLE 31 - ENTIRE SUBAGREEMENT It is expressly agreed by the part ies hereto that for the w ork hereunder, this Subagreement const itutes the ent ire and only Subagreement betw een the part ies. ARTICLE 32 - ALTERATIONS TO STANDARD PROVISIONS, APPENDIX A It is understood and agreed that as used in these standard provisions, References to “ grant” shall mean this “ Subagreement. ” References to “ grantee” shall mean “ LEAD INSTITUTION.” References to “ USAID,” “ Government” or “ U.S. Treasury” shall mean MSU.

IN WITNESS THEREOF, MSU and XXXXXXX have executed this Subagreement.

MICHIGAN STATE UNIVERSITY XXXXXXXXXX ____________________________ _____________________________

Authorized Signature Authorized Signature Diane Cox Senior Contract & Grant Administrator ____________________________ Typed Name and Tit le ____________________________ _____________________________ Date Date

46

APPENDIX B Feed the Future Innovation Lab for Collaborative Research on Grain Legumes

PROJECT TECHNICAL DESCRIPTION

COVER PAGE

SUMMARY PAGE (must print on one page)

Code and Title of Legume Innovation Lab Project:

Name, institutional affiliation and contact information of Lead U.S. Principal Investigator and University:

Name(s) and institutional affiliation of all Host Country (HC) and U.S. Co-PIs:

Project Period: Total Funding for 4.5 year Project

Total non-federal cost share commitment by U.S. institution(s)

April 1, 2013 – September 29, 2017

HCs where project activities will be implemented:

HC institutions to be sub-contracted (abbreviated names):

Percent of total project funding budgeted for each HC institution to be subcontracted

Authorized Lead U.S. University Representative: Name- Title- Mailing Address- Email Address- Phone Number- Signature:_______________________________________ Date:_______________________________

47

A. Technical Approach (maximum of twelve pages, excluding the budget and budget narrative)

1. Problem Statement and Justification

(Identify a constraint or development problem related to grain legumes to be addressed by this 4.5 year (April 1, 2013-September 29, 2017) Legume Innovation Lab project within the context of specific Feed the Future developing countries, regions or priority cropping systems. Discuss relevance of proposed research to grain legume production by smallholder farmers and potential benefits to other stakeholders of grain legume value-chains including consumers. Describe expected contributions of the project to USAID Feed the Future Strategic Goals (http://www.feedthefuture.gov/approach/Inclusive--Agriculture--Sector--Growth) and to Legume Innovation Lab Strategic Objectives for the 2013-2017 funding period. Problem statements and justifications supported by empirical evidence to demonstrate economic significance of the targeted challenges/ constraints, expected quantitative level of change and potential development impact resulting from proposed research and capacity building activities are encouraged. Cite scientific literature where available supporting proposed research focus

Code and Title of Legume Innovation Lab Project:

Name and Institutional Affiliation of the U.S. Lead Principal Investigator:

Abstract (Limit: 1800 characters including spaces—about 200-250 words):

Summary Checklist (select as many as appropriate) Project involves the use of proprietary transgenes or the generation of genetically modified organisms (GMOs)

Project involves human subjects and requires approval

Project involves animal use and requires approval

Project involves the use of agricultural pesticides and requires a Pesticide Evaluation and Safe Use Action Plan

Project involves M.S. or Ph.D. degree training of HC personnel at a U.S. university (How many?) ______

48

and approach. Present also a justification for the selection of the target Feed the Future focus countries taking into consideration the potential for the production, marketing and consumption of grain legumes.)

2. Objectives (Present a maximum of four clearly defined focused research and outreach objectives plus one objective to enhance institutional research capacity relative to grain legumes for the proposed four and a half year Legume Innovation Lab project. Each objective should have sufficient detail to be able to know and demonstrate when the objective has been achieved.)

3. Approaches and Methods

(Describe innovative research approaches and methods, especially multidisciplinary collaborations where appropriate, that have high potential for success in achieving the project’s objectives. Identify modern cutting-edge research methodologies and research capacities of participant collaborating institutions that will be utilized in this project.)

4. Collaboration with Host Country Institutions (Present a plan for partnership and collaboration with the proposed team of scientists and institutions to achieve the project’s objectives, including the division of responsibilities and coordination of activities. Present a rationale for the selection of the partner host country and international agriculture research institutions to collaborate in this project.)

5. Coordination with other International Grain Legume Research Programs/Projects (Discuss how the research, training and outreach activities of the Legume Innovation Lab project will be coordinated with other international grain legume research initiatives. USAID is seeking complementarity and synergies between Feed the Future grain legume research investments, especially with those of the Legume Innovation Lab. To this end, discuss how the research to be undertaken in this project will be coordinated with grain legume research programs; USDA-ARS, USDA-NIFA, USAID program on Climate Resilient Legumes, CGIAR Grain Legume Program, Tropical Legumes programs, Gates and McKnight Foundation projects, etc. The expectation of USAID and the MO is that Legume Innovation Lab PIs will interact and coordinate their research activities with scientists and programs where there are common objectives, opportunities for reciprocal benefits from collaboration, and settings where international scientists are partnering with and supporting common legume research programs of host country institutions (NARS, universities, etc.).)

6. Outputs (List the specific anticipated technical outputs (technologies, management practices, new knowledge) resulting from the four and half year Legume Innovation Lab project. In addition, present a 4.5-year project implementation timeline which identifies approximately when these technical outputs are likely to be developed and released for field validation or dissemination.)

7. Capacity Building of Partner Host Country Institutions (Present a plan for sustainable institutional capacity building in consideration of HC institutional needs and priorities of USAID under Feed the Future. Include a strategy for human resource development that involves innovative and cost-effective approaches for short- and long-term training including such approaches as internet based courses, research practicums at CG centers or foreign laboratories, private sector internships, etc. To the extent possible, identify expressed technical gaps and projected future staffing priorities of partner host country institutions,

49

potential disciplinary or topical foci for future training, target populations for and most appropriate type of training (long-term, short-term) to address needs, and potential institutions (public and private sector) to provide the training. USAID and the Management Office of the Legume Innovation Lab is also highly concerned about the sustainability of grain legume research capacity in host country institutions. Many scientists trained in the early years of the Bean/Cowpea and Pulse CRSPs are approaching or at retirement age. Please identify in the training plan how this project will prepare a new generation of legume scientists and technicians with the needed modern genomic, simulation modeling, data management, communications, inter-disciplinary, and research program management skills to address future legume sector challenges in their respective countries. )

B. Alignment with USAID Feed the Future Goals and Strategic Research Objectives

1. Alignment- Describe briefly alignment and contributions of proposed research and capacity

building activities to Feed the Future goals and strategic research objectives for inclusive and sustainable agriculture growth and increased legume productivity in priority “focus countries”.

2. Gender Equity- Describe how the technologies and knowledge generated by this project will specifically benefit women farmers, entrepreneurs and consumers. Since this a priority to USAID, research objective and output targets for the project may need to be modified so as to ensure that women are primary beneficiaries of Legume Innovation Lab research, Also, indicate how gender balance will be achieved in the institutional capacity building plan.

3. USAID Mission Engagement- Present a plan for engaging USAID country and regional Missions and for supporting Feed the Future strategic development objectives and cropping systems involving grain legumes. PIs are encouraged to contact Missions to inform them of Legume Innovation Lab act ivit ies w ithin the respective country(s), the identify of HC inst itut ional partners and collaborators, and of potential project contribut ions to FTF priority value chains and development object ives. An effect ive plan w ill also include establishing t ies w ith and seeking to provide technical assistance and access to grain legume technologies to USAID Mission development partners. Please be reminded that Missions have the opportunity to contract the services of the Legume Innovation

Lab and its partners through an Associate Aw ard to the Leader aw ard.

C. Impact Pathway Plan (Present a plan for achieving scalable and sustainable developmental impact that benefits stakeholders of grain legume value chains, especially women and resource-poor grain legume farmers in target Feed the Future countries and regions. See attached guidance on Impact Pathway to be provided by the Legume Innovation Lab MO (Dr. Mywish Maredia, Impact Assessment Advisor) when preparing the plan. In particular, identify outputs and entities along the impact pathway to which these will be “handed off” for further adaptive research and dissemination. Estimate potential impact in both qualitative and quantitative terms of the outputs from the proposed research and training activities in both target developing countries and the U.S. In those projects where a technology is likely to be developed and released within the coming years, the MO may request that the project team collect “base-line’ data so as to be able to document adoption and future impact (ex-post). In such cases, the project will be expected to include the cost of base-line data collection in its 4.5 year project budget.)

50

D. Project Budget

1. Budget (Prepare a budget for the 4.5 year project (April 1, 2013 through September 29, 2017), including five Fiscal Year budgets and a summary budget, using an Excel budget template provided by the MO. Be reminded that funds in Legume Innovation projects are obligated for 12 month fiscal-year periods (October 1 through September 30 of the following year). Please note that the obligation period for FY 2013 will only be for only six months. The Excel budget template is underpinned with formulas which automatically calculate totals, including data in the Summary budget. If you have any questions regarding the use of this budget template, please contact Patty Cotter in the MO at 517-884-4673 or by email at cotterpa@anr.msu.edu. The amount of total estimated support for the project will be provided by the MO to the Lead PI in a memo from the MO at MSU. This is only an estimated commitment as actual obligations will be dependent upon the availability of funds from USAID and performance over the life of the project. The subcontract between Michigan State University and the Lead-University for a Legume Innovation Lab project will likely be amended in August or September 2013 following the completion, submission and approval of the Project Technical Description, Budget, Workplan, Performance Indicator Targets for FY 2013-15, Technical Milestones and an Impact Pathway Plan. The amendment will include an 18 month extension of the project and an obligation of funds for FY 2013 (minus the amount received for the project team planning meeting) and FY 2014. Please be aware, therefore, that the FY 13 and 14 budgets submitted in the Technical Project Description will represent the total amount to be obligated to the project for this period.

2. Legume Innovation Lab Guidelines and Policies regarding Budgets

The Legume Innovation Lab has established numerous budgetary guidelines, approved by USAID, which should be taken into consideration when planning and preparing the project budget. These guidelines include: Host Country Institutional Budget Split

The Legume Innovation Lab requires that a minimum of 50% of the direct funds be expended in or on behalf of the Host Country institutions partnering and collaborating in a project. Higher percentages of funding budgeted for Host Country institutions will most certainly be viewed favorably.

Personnel Cost Include salary and fringe benefits for PIs and research associates to be paid through the Legume Innovation Lab project. As U.S. university faculty are increasingly on academic year appointments, partial support of U.S. PI salary is allowable, but should not exceed three months of salary per year. Project funds cannot be used to support clerical and administrative staff.

Travel

51

Include estimated travel expenses related to the conduct of research and training activities for both U.S. and Host Country personnel. Note that all air-travel must be in accordance with the “Fly America Act.”

Equipment Include budget for equipment required for the conduct of research activities and/or contributing to the capacity of the Host Country institution. Equipment is defined as individual items that cost $5000 or more. Please use the USAID “Eligibility Rules for Goods and Services (April 1998)” as the guideline for budgeting this line item.

Supplies Include budget for items such as office supplies, chemicals and laboratory supplies required for the conduct of research and training activities. Supplies are defined as those of items costing less than $5000 per unit and used in the conduct of day-to-day research, training, and outreach activities. Supplies also include communication costs such as computers, telephones, Internet service, etc.

Training Budgets budget should include itemized support for degree and non-degree (short-term) training at U.S. universities, Host country universities and/or “advanced” institutions of higher learning around the world. All trainees that come to the U.S. must be in compliance with USAID guidelines for Participant Training (ADS 253). The Legume Innovation Lab continues to require that all subcontracted projects invest a minimum of 30 percent of total direct funds in combined degree and short-term training.

Other Appropriate budgetary items for this line include professional services contracts, consultants, etc. Please provide justification for budgeted amounts under this category in the Budget Narrative.

Indirect Cost Enter the indirect cost amount for each institution in the respective column. In the Budget Narrative, indicate the negotiated indirect cost rates for U.S. (NICRA) and Host Country institutions, and how the total indirect costs were calculated. Note that budgeted amounts for Equipment (items costing >$5,000) and “participant training” as defined in ADS 253 are generally exempt from institutional indirect costs. PIs should consult with their institution’s offices of Contract and Grant Administration or of Sponsored Programs for guidance on the budgeting of indirect costs.

Indirect cost on sub-subcontracts Enter the amount for institutional indirect cost to be charged by the Lead U.S. institution on individual sub-subcontracts with Host Country or collaborating U.S. institutions under this project. This usually includes indirect costs on the first $25,000 of any sub-subcontracted project. In the budget narrative, provide an explanation of how these indirect costs were calculated and give the U.S. institution’s established NICRA (Negotiated Indirect Cost Rate Agreement). Consult with your institution’s offices of Contract and Grant Administration or of Sponsored Projects for guidance on the budgeting of indirect costs on sub-subcontracts. Please be aware of the Legume Innovation Lab’s policy that all sub-contracts with Host Country institutions for the implementation of research, training and outreach activities

52

must be “Fixed-Price Contracts.”

Cost Share Provide accurate estimates of institutional cost share for each U.S. institution budgeted. The Legume Innovation Lab requires that each research project provide cash or in-kind contributions (cost-share) on funds received according to the following guidelines:

Institutions are encouraged to provide cost-share on Legume Innovation Lab project expenses as evidence of institutional commitment and support for the program. Lead U.S. universities must provide U.S. non-federal cost share as defined by the USAID reference document for cost-share -- 22CFR 226.23.

The cost-share requirement for each project is at minimum 15% of the total U.S. direct costs. U.S. costs include direct costs budgeted for personnel (staff salaries and fringes, labor cost, consultants), supplies, equipment, travel and non-participant training in the U.S. or at a non-HC institution outside the U.S. (e.g., CG center). Participant degree training at U.S. universities is exempt from the cost share requirement.

Consideration will be given by Michigan State University (the Management Entity) to reducing the match requirement for U.S. universities which experience financial constraints and can provide a compelling justification for a waiver.

Lead U.S. universities will NOT be required to provide a 15 percent match for direct

project funds awarded in support of research activities of USDA/ARS scientists with

adjunct appointments. (Justification: USDA/ARS scientists are unable to match federal

funds with federal funds, placing undue hardship on the subcontracted lead U.S.

university.)

Host Country institutional in-kind-contributions do NOT contribute to meeting the 15% U.S. institutional cost-share requirement.

Attribution to Capacity Building

Provide an estimate of the percentage of project effort, budgeted for each institution that contributes to Host Country “Capacity Building”. Enter a percentage under each column as a number between 0-100.

3. Budget Narrative

The budget narrative should include an explanation and justification for each line item in the Budget, especially explanations regarding the calculation of the following budget components.

Split between U.S. and HC institutions in total direct costs.

Breakdown in cost share contributions (in-kind & cash) by the U.S. and Host Country institutions.

Total budgetary attribution to institutional capacity building.

53

APPENDIX C

ANNUAL WORKPLAN (TEMPLATE)

Project Code and Title:

Lead U.S. Principal Investigator (PI) and affiliated Lead U.S. University:

Host Country and U.S. Co-PIs and Institutions:

I. Project Problem Statement and Justification: (Please describe the constraint or challenge to be addressed and its importance to the grain

legume sector in the target Feed the Future focus countries and the U.S. Brief ly also explain how

the research and training act ivit ies w ill build up the technical progress achieved during the past

f iscal year of the project. This sect ion should not be a duplicat ion of content in the Technical

Project Descript ion but should ref lect the technical status of the research, outreach or training

project at a point in t ime in the life of the respect ive Legume Innovation Lab project. Please limit

the length of this sect ion to a maximum of 4000 characters.)

II. Project Activities for the Workplan Period (October 1, 2014 – September 30, 2015)

(The Workplan should present details on planned research, capacity building and outreach

act ivit ies to be completed during the obligat ion period. The organizat ion of the w orkplan should be

by “ object ive” as ident if ied in the project’s approved Technical Descript ion. Under each object ive,

provide specif ic information on Collaborators (Host Country and US scient ists) and Approaches

and Methods.)

Objective 1: (Present a concise one-line statement of a specif ic research or inst itut ional capacity building

object ive to be achieved by the project. These object ives should be consistent w ith those

presented in the approved Technical Descript ion (FY2013-2017) for the Legume Innovation Lab

project and should not change over the life of the project unless approved by the MO. )

Collaborators: (A “ Collaborator” is a scient ist or an inst itut ional partner w hich w ill contribute to the

achievement of a specif ic research object ive in the Workplan. Subcontracted U.S. and Host

Country Co-Principal Invest igators receiving funds for a project should not be listed as

Collaborators. Collaborators for a given object ive may include CGIAR scient ists, PIs from

other Legume Innovation Lab projects, technicians from partnering inst itut ions, and others

(i.e., private industry, NGOs, government organizat ions, etc.) w ho may be contribut ing

direct ly or indirect ly to the project in tangible w ays (including analyt ical services and

technology transfer act ivit ies) in either developing countries or the U.S.)

Approaches and Methods: (Provide descript ions of the research, outreach and/or inst itut ional capacity building

approaches and methodologies to be used to achieve the specif ic object ive during the 12

month period of the Workplan. Suff icient detail must be provided to enable the Management

Off ice and the Technical Management Advisory Committee (TMAC) to assess the

appropriateness of the proposed approach and methods to achieve the object ive based on

technical progress to date, and to hold U.S. and Host Country PIs accountable for act ivit ies

to be completed during the course of the w orkplan period.

The proposed methods are expected to ut ilize the respect ive research and training capacit ies

of the partnering inst itut ions as w ell as innovative, cutt ing-edge research tools that enhance

the likelihood of success of the project in achieving the respect ive object ive. To this end,

54

ident ify the division of responsibilit ies for complet ion of act ivites among the U.S. and Host

Country PIs and collaborators. This division of responsibilit ies should be the basis for

determining budgetary allocat ions and for assigning report ing responsibilit ies on milestones

and performance indicators at crit ical t imes during the period of the Workplan. )

Objective 2:

Collaborators:

Approaches and Methods:

Objective 3…:

Collaborators:

Approaches and Methods:

Objective __: (The f inal object ive should be “ to increase the capacity, effect iveness and sustainability of

agriculture research inst itut ions w hich serve the bean and cow pea sectors in the target FTF

countries.” The narrat ive under the Approaches to achieving this inst itut ional capacity

strengthening object ive must be consistent w ith the “ Strategy for Inst itut ional Capacity

Strengthening” presented in the Technical Project Descript ion. Describe brief ly in this sect ion

the planned degree and short term training act ivit ies that are planned during the 2015

Workplan period, and w here and w ho w ill carry these training act ivit ies.

Please note that detailed information on degree training, short -term training, and investments

in equipment (> $5,000) planned for this w orkplan period must be provided by complet ing

the Appendix 1: "Workplan for Training and Capacity Strengthening" .)

III. Contribution of Project to USAID Feed the Future Performance Indicators: (Complete the “ Performance Indicators – Targets” form for the project for FY 2015 and 2016. It

is important that these targets ref lect a thoughtful est imation of planned and projected outputs

and outcomes from the act ivit ies of each part icipat ing inst itut ion in this project in the FTF

countries. For your assistance, the MO w ill be sending each Lead PI a “ Handbook on

Performance Indicators for the Legume Innovation Lab” w hich provides you w ith def init ions and

guidance for report ing of Performance Indicators. It is imperat ive that Performance Indicator

“ Actual” data, reported at the end of each f iscal year, be of integrity as USAID w ill be requiring

greater accountability by the Legume Innovation Lab. Lead PIs should therefore take measures

to systematically collect and verify the accuracy of all Performance Indicator obtained from

partners during the course of each f iscal year.)

IV. Outputs: (Ident ify specif ic technical outputs that w ill result f rom this project during the 12 month period

of the Workplan. Please be reminded that outputs from research act ivit ies are frequently not

” f inished” technologies but research achievements (I.e., evidence for a new resistance gene,

discovery of a molecular marker, etc.) that give evidence of technical progress tow ard the

project ’s object ives. Success in achieving projected outputs w ill be a basis for assess ing project

product ivity and performance by the Management Off ice and the Technical Management

Advisory Committee at the end of each f iscal year. It is therefore crit ical that thought be given

to clearly def ining these outputs.)

V. Engagement of USAID Field Mission(s) (Ident ify specif ic act ivit ies to be carried out during the 12 month w orkplan period to engage

USAID country or regional missions so as to inform them of Legume Innovation Lab act ivit ies

w ithin the respect ive country and of their contributions to FTF object ives and mission agriculture

sector development strategies. There is also value in introducing HC partners and collaborators

to USAID Mission economic grow th and FTF staff . Please be informed that Missions have the

55

opportunity to contract the services of the Legume Innovation Lab and its partners through an

Associate Aw ard to the Leader Aw ard.)

VI. Partnering and Networking Activities: (Ident ify planned partnering and netw orking act ivit ies to ensure that outputs are handed-off to

the appropriate public and private sector inst itut ions for follow -up adaptive research and f ield

validat ion, in addit ion to technology transfer, in FTF countries and regions. These partners and

act ivit ies should be consistent w ith the Impact Pathw ay Plan for the project. The follow up

act ivit ies are not necessarily expected to be supported f inancially by the Legume Innovation Lab

project, how ever, USAID desires that PIs be accountable for making such arrangements so that

research outputs are disseminated on a w ide scale for quantif iable developmental impact.)

VII. Leveraged Resources: (Ident ify exist ing leveraged projects and resources or future plans to pursue grant opportunit ies

afforded by part icipat ion in a Legume Innovation Lab project. Describe brief ly how research,

outreach and inst itut ional capacity strengthening act ivit ies from leveraged projects aw arded to

Lead and Co PIs from such donor sources as USDA-ARS, NIFA, NSF, USAID, McKnight, Gates,

and the CGIAR are complementary to and coordinated w ith act ivit ies described in this

Workplan.)

VIII. Timeline for Achievement of Milestones of Technical Progress: (Complete the "Milestones for Technical Progress” form for the FY 2015 w orkplan period. These

milestones of progress should be view ed as specif ic “ benchmarks” tow ard achievement of

research, outreach and inst itut ional capacity building object ives by the respect ive part icipat ing

inst itut ions, plus be considered as specif ic “ deliverables” for incremental payments under Fixed

Term Contracts w ith sub-subcontracted inst itut ions in the project. Please be reminded to include

‘milestones” from the FY 2013-14 performance period that PIs don’ t ant icipate w ill be

completed. The expectat ion is that these act ivit ies w ill be completed during FY 2015 or that the

Workplan w ill present a case for a change. Success in achieving milestones w ill also be reported

at the end of each f iscal year and be a criterion for evaluat ion of project performance by the

TMAC and USAID. It is therefore important that the milestones be clearly ident if ied (in terms of

its size/scale/scope and target locat ion), quantitat ive (to the extent possible), logist ical ly feasible,

and w ith the responsible inst itut ion(s) ident if ied for complet ing the Milestones.)

56

Appendix 1 of Annual Workplan: Workplan for Training and Capacity

Strengthening (FY 2015) (use format below )

Degree Training:

First and Other Given Names

Last Name

Cit izenship

Gender

Training Inst itut ion

Supervising Legume Innovation Lab PI

Degree Program for training

Program Areas or Discipline

If enrolled at a US university, w ill Trainee be a “ Part icipant Trainee” as defined by

USAID?

Host Country Inst itut ion to Benefit from Training

Thesis Tit le/Research Area

Start Date

Projected Complet ion Date

Training status (Active, completed, pending, discontinued or delayed)

Type of CRSP Support (full, part ial or indirect) g for training act ivity

Short-term Training:

Type of training

Descript ion of training act ivity

Location

Duration

When w ill it occur?

Part icipants/Beneficiaries of Training Activity

Anticipated numbers of Beneficiaries (male and female)

PI/Collaborator responsible for this training act ivity

List other funding sources that w ill be sought (if any)

Training just if icat ion

Equipment (costing > $5,000):

Specif ic Type of Equipment to be purchased

Justif icat ion for equipment to achieve w orkplan object ives

Inst itut ion to benefit from equipment

Inst itut ion to purchase equipment

Amount budgeted for equipment item

57

APPENDIX D PROJECT BUDGET

U.S.

Institution

U.S. for Host

Country

HC or U.S.

Institution (1)

HC or U.S.

Institution (2)

HC or U.S.

Institution (3)

HC or U.S.

Institution (4)

HC or U.S.

Institution (5)

HC or U.S.

Institution (6)

HC or U.S.

Institution (7)

HC or U.S.

Institution (8)

HC or U.S.

Institution (9)Total

Institution Nameenter name

here

enter name

here

enter name

here

enter name

here

enter name

here

enter name

here

enter name

here

enter name

here

enter name

here

enter name

here

HC or U.S. Institution US HCEnter HC or

US

Enter HC or

US

Enter HC or

US

Enter HC or

US

Enter HC or

US

Enter HC or

US

Enter HC or

US

Enter HC or

US

Enter HC or

US

a. Personnel Cost

Salaries $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $11.00

Fringe Benefit $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $11.00

b. Travel $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $11.00

c. Equipment ($5000 Plus) $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $11.00

d. Supplies $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $11.00

e. Training

Degree $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $11.00

Non-Degree $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $11.00

f. Other $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $11.00

g. Total Direct Cost $8.00 $8.00 $8.00 $8.00 $8.00 $8.00 $8.00 $8.00 $8.00 $8.00 $8.00 $88.00

h. Indirect Cost $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $11.00

i. Indirect Cost on Subcontracts

(First $25000) $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $11.00

j. Total Indirect Cost $2.00 $2.00 $2.00 $2.00 $2.00 $2.00 $2.00 $2.00 $2.00 $2.00 $2.00 $22.00

Total $10.00 $10.00 $10.00 $10.00 $10.00 $10.00 $10.00 $10.00 $10.00 $10.00 $10.00 $110.00

Grand Total

Amount Percentage

Total direct cost budgeted for U.S. institution(s) $8.00 50.00%

Total direct cost budgeted for H.C institution(s) $8.00 50.00%

Cost Share

U.S.

Institution

U.S. for Host

Country

HC or U.S.

Institution (1)

HC or U.S.

Institution (2)

HC or U.S.

Institution (3)

HC or U.S.

Institution (4)

HC or U.S.

Institution (5)

HC or U.S.

Institution (6)

HC or U.S.

Institution (7)

HC or U.S.

Institution (8)

HC or U.S.

Institution (9)Total

In-kind $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $10.00

Cash $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $1.00 $10.00

Total 2.00$ -$ 2.00$ 2.00$ 2.00$ 2.00$ 2.00$ 2.00$ 2.00$ 2.00$ 2.00$ 20.00$

Attribution to Capacity Building

Percentage of effort 1.00% 1.00% 1.00% 1.00% 1.00% 1.00% 1.00% 1.00% 1.00% 1.00% 1.00% 11.00%

Amount corresponding to effort $0.08 $0.08 $0.08 $0.08 $0.08 $0.08 $0.08 $0.08 $0.08 $0.08 $0.08 $0.88

Legume Innovation Lab Project : BUDGET SUMMARY FY 15

ON SUMMARY PAGE TYPE PROJECT NAME HERE

10/01/14 - 09/30/15

$110.00

ON SUMMARY PAGE TYPE PROJECT NAME HERE

58

APPENDIX E

REPORTING “SEMI-ANNUAL MILESTONES OF PROGRESS” EXAMPLE FOR THE FIRST REPORTING PERIOD (10/1/2013)

Project Title:

Target Target Target Target Target Target

Milestones by Objectives 10/1/13 Y N * 10/1/13 Y N * 10/1/13 Y N * 10/1/13 Y N * 10/1/13 Y N * 10/1/13 Y N *

Objective 1

1.1

1.2

1.3

1.4

1.5

Objective 2:

2.1

2.2

2.3

2.4

2.5

Objective 3:

3.1

3.2

3.3

3.4

3.5

Objective 4:

4.1

4.2

4.3

4.4

4.5

Name of the PI reporting on

milestones by institution

Name of the U.S. Lead PI submitting

this Report to the MO

Date

* Please provide an explanation for not achieving the milestones on a separate sheet.

Institution 6

Achieved

Feed the Future Innovation Lab for Collaborative Researchon Grain Legumes

Report on the Achievement of "Milestones of Progress"

(For the Period: April 1, 2013 -- September 30, 2013)

This form should be completed by the U.S. Lead PI and submitted to the MO by October 1, 2013

Abbreviated name of institutions

(Tick mark the Yes or No column for identified milestones by institution)

Institution 4

Achieved

Institution 5

Achieved

Institution 3

(Title here)

Institution 2Institution 1

Signature

Achieved Achieved Achieved

59

APPENDIX F

FORMAT

LEGUME INNOVATION LAB ANNUAL TECHNICAL PROGRESS REPORT

(Report Period)

Project Title: Lead U.S. Principal Investigator and University: Collaborating Host Country and U.S. PIs and Institutions: Abstract of Achievements and Outcomes (A narrat ive of technical progress, achievements and developmental outcomes- - 400 word limit) I. Project Problem Statement and Justification: (maximum 750 w ords) II. Project Activities for (report period) Objective 1:

(A one-line statement of a specif ic research or inst itut ional capacity building object ive to be achieved by the project during the current funding period.)

Collaborators:

(A “ Collaborator” is a scientist or an inst itut ional partner w hich w ill contribute to the achievement of specif ic research object ive in a Workplan. U.S. and Host Country Principal Investigators for a project should not be listed as Collaborators. Collaborators for a given object ive may include PIs from other Legume Innovation Lab projects, colleagues from the same department/inst itut ion (as the PI), researchers from non-Innovation Lab inst itut ions such as IARCs, NGOs, private industry, government organizations, etc. in either developing countries or the U.S.)

Approaches and Methods:

(Descript ion of the research, outreach and/or inst itut ional capacity building approaches and methodologies used to achieve the specif ic object ive during the period of the current workplan.)

Results, Achievements and Outputs: (Descript ion of technical progress made during report ing period, as evidenced by key results, achievements and outputs. PIs should discuss success in achieving specif ic target “ milestones” which w ere established for each object ive in the Workplan. These milestones are considered as specif ic “ indicators of progress” tow ard achievement of research, outreach and inst itut ional capacity building object ives by the project. If milestones w ere not achieved as planned during the report ing period, provide an explanation that just if ies continued support of the Object ives.)

Objective 2:

Collaborators: Approaches and Methods: Results, Achievements and Outputs:

Objective 3…:

Collaborators: Approaches and Methods:

60

Results, Achievements and Outputs: Objective __: (The f inal object ive focuses on increasing the capacity, effect iveness and sustainability of agriculture research inst itut ions w hich serve the bean and cowpea sectors in developing countries. Under this object ive, provide information for each degree and short term training and inst itut ional capacity building act ivity conducted during the period of this Technical Progress Report.) Degree Training:

First and Other Given Names Last Name Cit izenship Gender Degree Program for training Program Areas or Discipline Host Country Inst itut ion to Benefit from Training University providing the training Is Trainee a “ Part icipant Trainee” as defined by USAID? Supervising Legume Innovation Lab PI Start Date Projected Complet ion Date Type of Legume Innovation Lab Support (full, part ial or indirect) If providing Indirect Support, identify source(s)s of leveraged funds

Short-term Training: Type of training Descript ion of training act ivity Location Duration Scheduling of training act ivity Part icipants/Beneficiaries of Training Activity Numbers of Beneficiaries (male and female)

Equipment (costing > $5,000): Specif ic Equipment purchased Justif icat ion for equipment to achieve w orkplan object ives Inst itut ion to benefit from equipment Inst itut ion to purchase equipment

III. Contribution of Project to Target Feed the Future (FTF) Performance Indicators:

(Complete the “ Performance Indicators – Targets for Workplans” form for the project for the current period.)

IV. Engagement of USAID Field Mission(s)

(Describe act ivit ies carried out during report period in which USAID country or regional missions w ere engaged. Indicate if opportunit ies exist or are being pursued to attract funding or Associate Aw ards from Mission for Legume Innovation Lab or related act ivit ies w ithin the Host Country.)

V. Networking Activities with Stakeholders:

(Identify planned networking act ivit ies w ith public and private stakeholder groups to ensure w idespread promotion and dissemination of outputs in Host Countries)

VI. Leveraging of Legume Innovation Lab Resources: (Provide the follow ing information for all leveraged funds received under this Legume Innovation Lab project during the report ing period.)

61

Name of PI receiving leveraged funds: Descript ion of leveraged project: Dollar amount: Funding source:

VII. List of Publications: VIII. Professional Recognition, Awards, Patents and Plant Variety Protection Certificates Received by PIs/Collaborators during the Report Period: IX. Tables and Figures cited in the Report:

62

APPENDIX G: FEED THE FUTURE PERFORMANCE INDICATORS

SAMPLE on following page

63

FY 13 Target FY 13 Revised FY 13 Actual FY 14 Target FY 14 Revised FY 14 Actual FY 15 Target FY 15 Revised FY 15 Actual

Output Indicators

1 4.5.2(6) Degree Training: Number of individuals who have received degree training 0 0 0 0 0 0 0 0 0

Number of women 0 0 0 0 0 0 0 0 0

Number of men 0 0 0 0 0 0 0 0 0

2

Total number 0 0 0 0 0 0 0 0 0

Number of women 0 0 0 0 0 0 0 0 0

Number of men 0 0 0 0 0 0 0 0 0

Numbers by Type of individual

Producers 0 0 0 0 0 0 0 0 0

People in government 0 0 0 0 0 0 0 0 0

People in private sector firms 0 0 0 0 0 0 0 0 0

People in civil society 0 0 0 0 0 0 0 0 0

3

New/Continuing (total) 0 0 0 0 0 0 0 0 0

New 0 0 0 0 0 0 0 0 0

Continuing 0 0 0 0 0 0 0 0 0

Gendered Household Type

Adult Female no Adult Male (FNM) 0 0 0 0 0 0 0 0 0

Adult Male no Adult Female (MNF) 0 0 0 0 0 0 0 0 0

Male and Female Adults (M&F) 0 0 0 0 0 0 0 0 0

Child No Adults (CNA) 0 0 0 0 0 0 0 0 0

4

Type of organization

Private enterprises (for profit) 0 0 0 0 0 0 0 0 0

Producers organizations 0 0 0 0 0 0 0 0 0

Water users associations 0 0 0 0 0 0 0 0 0

Women's groups 0 0 0 0 0 0 0 0 0

Trade and business associations 0 0 0 0 0 0 0 0 0

Community-based organizations (CBOs) 0 0 0 0 0 0 0 0 0

New/Continuing (total) 0 0 0 0 0 0 0 0 0

New 0 0 0 0 0 0 0 0 0

Continuing 0 0 0 0 0 0 0 0 0

5

Number by type of partnership (total) 0 0 0 0 0 0 0 0 0

Agricultural production 0 0 0 0 0 0 0 0 0

Agricultural post harvest transformation 0 0 0 0 0 0 0 0 0

Nutrition 0 0 0 0 0 0 0 0 0

Multi-focus 0 0 0 0 0 0 0 0 0

Other 0 0 0 0 0 0 0 0 0

6

Number of additional hectares under improved technologies or

management practices

Number under specific technology types (total) 0 0 0 0 0 0 0 0 0

crop genetics 0 0 0 0 0 0 0 0 0

animal genetics 0 0 0 0 0 0 0 0 0

pest management 0 0 0 0 0 0 0 0 0

disease management 0 0 0 0 0 0 0 0 0

soil-related 0 0 0 0 0 0 0 0 0

irrigation 0 0 0 0 0 0 0 0 0

water management 0 0 0 0 0 0 0 0 0

post-harvest handling and storage 0 0 0 0 0 0 0 0 0

processing 0 0 0 0 0 0 0 0 0

climate mitigation or adaptation 0 0 0 0 0 0 0 0 0

fishing gear/technique 0 0 0 0 0 0 0 0 0

other 0 0 0 0 0 0 0 0 0

total w/one or more improved technology 0 0 0 0 0 0 0 0 0

New/Continuing hectares

New 0 0 0 0 0 0 0 0 0

Continuing 0 0 0 0 0 0 0 0 0

Sex of person managing hectare

Male 0 0 0 0 0 0 0 0 0

Female 0 0 0 0 0 0 0 0 0

Association-applied 0 0 0 0 0 0 0 0 0

74.5.2(39) Number of new technologies or management practices in one of

the following phases of development: (Phase I/II/III) 0 0 0 0 0 0 0 0 0

Phase 1: Number of new technologies or management practices

under research as a result of USG assistance 0 0 0 0 0 0 0 0 0

Phase 2: Number of new technologies or management practices

under field testing as a result of USG assistance 0 0 0 0 0 0 0 0 0

Phase 3: Number of new technologies or management practices

made available for transfer as a result of USG assistance 0 0 0 0 0 0 0 0 0

8

Sector (total) 0 0 0 0 0 0 0 0 0

Inputs 0 0 0 0 0 0 0 0 0

Outputs 0 0 0 0 0 0 0 0 0

Macroeconomic 0 0 0 0 0 0 0 0 0

Agricultural sector-wide 0 0 0 0 0 0 0 0 0

Research, extension, information, and other public service 0 0 0 0 0 0 0 0 0

Food security/vulnerable 0 0 0 0 0 0 0 0 0

Climate change adaptation or natural resource management

(NRM) (ag-related) 0 0 0 0 0 0 0 0 0

Stages of development

Stage 1 of 5: Number of policies / regulations / administrative

procedures analyzed 0 0 0 0 0 0 0 0 0

Stage 2 of 5: Number of policies / regulations / administrative

procedures drafted and presented for public/stakeholder

consultation 0 0 0 0 0 0 0 0 0

Stage 3 of 5 : Number of policies / regulations / administrative

procedures presented for legislation/decree 0 0 0 0 0 0 0 0 0

Stage 4 of 5 Number of policies / regulations / administrative

procedures prepared with USG assistance passed/approved 0 0 0 0 0 0 0 0 0

Stage 5 of 5: Number of policies / regulations / administrative

procedures passed for which implementation has begun 0 0 0 0 0 0 0 0 0

Notes:

These indicators are developed under the Feed the Future Monitoring System. Please provide 'total' numbers and also disaggregate where applicable. Just providing 'totals' will not be approved.

This table corresponds to the Feed the Future Performance Indicators data collection sheet under the FTFMS system. Where an indicator does not apply to the type of work done under the project, leave it blank.

Please follow the indications in the Legume Innovation Lab Indicators Handbook that will be provided to you by the Management Office. Contact Mywish Maredia (maredia@anr.msu.edu) for further information.

There is additional guidance on the USAID website http://feedthefuture.gov/sites/default/files/resource/files/ftf_handbookindicators_apr2012.pdf

Feed the Future Innovation Lab for Collaborative Research on Grain Legumes

PERFORMANCE INDICATORS / TARGETS SPREADSHEET for FY 13 (Second Semester only), FY 14, and FY 15

Project Name:

Summary of all institutions

Indic.

numbe (October 1, 2014 - September 30, 2015)(October 1, 2013 - September 30, 2014)(only April 1, 2013 - September 30, 2013)

4.5.1(24) Numbers of Policies/Regulations/Administrative Procedures in each of the following stages of development as a result of USG assistance in each case: (Stage 1/2/3/4/5)

4.5.2(7) Short-term Training: Number of individuals who have received short-term training

4.5.2(13) Beneficiaries: (numbers of households)

4.5.2(12) Number of public-private partnerships formed as a result of CRSP assistance

4.5.2(2) Developmental outcomes:

4.5.2(11) Number of food security private enterprises (for profit), producers organizations, water users associations, women's groups, trade and business associations, and community-based organizations (CBOs) receiving USG assistance

64

APPENDIX H

ANNUAL EXPENSE REPORT TEMPLATE

65

APPENDIX I

ENVIRONMENTAL MONITORING AND MITIGATION PLAN (EMMP) St ill under development.

66

APPENDIX J

INTELLECTUAL PROPERTY DEFINITIONS AND PRINCIPLES DEFINITIONS: Intellectual Property (IP): Any new and useful process, composit ion of matter, life form, art icle of manufacture, softw are, copyrightable w ork, or tangible property including genet ically engineered biological organisms, chemical compounds, data sets, or unique and innovat ive uses of exist ing invent ions that may or may not be patentable or copyrightable. It is created w hen something new and useful has been conceived or developed, or w hen unusual, unexpected, or non-obvious results obtained w ith an exist ing Invent ion can be pract iced for some useful purpose. It can be created by one or more individuals each of w hom to be a creator must have conceived of an essent ial element or have contributed substant ially to its conceptual development. Invent ion: A new , original and useful form or item of Intellectual Property. Invent ion Disclosure (ID): The act and mechanism for the disclosure of a potent ial new invent ion to an administrat ive body (i.e., the intellectual property off ice of a university, Legume Innovat ion Lab MO, etc.). ID is the f irst formal step in the documentat ion of the discovery of a potent ial new invent ion. An ID document out lines the object ives of an invent ion, describes its uniqueness and advantages over previous technologies or processes, provides a detailed descript ion of the invent ion, gives the current stage of development of the invent ion, ident if ies the funding source(s) for the development of the invent ion and ident if ies the inventors or creators. License Agreement (LA): A revocable privilege that gives the Licensee (a recipient of a technology or creat ion) the right to commercialize the technology or creat ion and not to be sued by the Licensor for said commercializat ion. A LA specif ies the terms and condit ions for both part ies for the long-term use and commercializat ion of a technology, including the period of t ime, extent of monetary compensat ion and royalt ies, and the need for record keeping. Material Transfer Agreement (MTA): A mutually acceptable agreement of terms by both part ies for the handling, use, commercializat ion and liabilit ies related to said use of a proprietary technology. A common use of MTAs is to establish the short -term use of molecular technologies in genet ic engineering research w hen very lit t le or no revenue is required for such use. Alternat ively, commercializat ion usually requires the execut ion of a License Agreement. The MTA or an attachment to the MTA (i.e., let ter) w ill def ine the condit ions for the transfer of a technology. Plant Variety Protect ion (PVP) (or Plant Breeders Rights): A mechanism for legal governmental protect ion through the cert if icat ion of novel sexually propagated variet ies of plants. Applicat ions for PVP must be f iled through a country’s Plant Variety Protect ion Off ice. Research and Joint Venture Agreements (JVA): A formal agreement among mult iple inst itut ions, f requent ly in different countries, to embark on a joint venture and collaborat ive research including the research act ivit ies being conducted and supported so as to meet the requirements and interests of both the part ies (i.e., HC and U.S. Innovat ion Lab inst itut ions). A JVA w ill clarify the terms for conduct ing the collaborat ive research including (1) report ing, (2) handling of new invent ions or products w ith commercial value that may result f rom the joint venture, (3) use, exchange, ow nership and protect ions of new invent ions, (4) not if icat ion of the MO and USAID, (5) sharing of royalt ies, (6) publicat ion of research results, (7) handling of other part ies’ conf ident ial information, and (8) f inancing. FUNDAMENTAL PRINCIPLES RELATED TO INTELLECTUAL PROPERTY (IP) GENERATION AND TRANSFER UNDER THE LEGUME INNOVATION LAB: The Legume Innovat ion Lab is involved in both the collaborat ive development and transfer of diverse technologies including products of biotechnology (i.e., gene constructs for viral

67

resistance, transgenic lines, etc.), plant germplasm (i.e., improved cult ivars), natural products for control of crop pests (i.e., extracts from neem), grain storage technology, bean/cow pea processing protocols and technology, food products (i.e., iron-fort if ied w eaning food, etc.), and research protocols and instrumentat ion. Thus, the Legume Innovat ion Lab adopts the follow ing principles relat ive to intellectual property generat ion and transfer, the protect ion of genet ic resources, assessment of impact, and to its collaborat ive research and training act ivit ies betw een U.S. and HC inst itut ions and universit ies. 1. Commitment to research and training activities that benef it bean and cow pea and related producers, grain handlers/traders, processors and consumers, regardless of scale, in the United States, in Africa, in the Caribbean and in Lat in America. Act ivit ies w ithin these regions are concentrated in countries ident if ied as Legume Innovat ion Lab Host Countries (HC) w hich act as regional centers of research. 2. Commitment to providing access to technologies that arise from Legume Innovat ion Lab-funded research in the U.S., HCs, as w ell as non-Legume Innovat ion Lab countries w ithin a region for the benef it of both the public (i.e., NARS, universit ies, etc.) and private sectors. Applicat ions of Legume Innovat ion Lab technologies might include use in research, agricultural development, small business enterprise enhancement and the improvement of the economic state of farmers, grain handlers/traders and processors. It is recognized that the private sector plays an important role in development and may be in the best posit ion in certain situat ions to make effect ive use of the technology for the benef it of society at large. 3. Support for legal protection of IP generated by Legume Innovat ion Lab-funded research through such means as patents, plant variety protect ion (PVP), t rademarks and copyrights. Legal protect ion is view ed as a means to assure community access to IPs and to control private company use, thus maximizing their potent ial benef it to society in both the U.S. and in HCs. 4. Recognition that the use of protected materials and technologies in research may be restricting the transfer and distribution of the creat ions and spin-off technologies of said research, including their commercializat ion and transfer to Legume Innovat ion Lab Host Countries. 5. Recognition of the importance of Genetic Resource conservation and supports the free international exchange of those resources and breeding materials to maximize the eff iciency of agronomic research and the breeding of improved variet ies of beans and cow peas. 6. Recognition of the rights of farmers in conserving, improving and making available plant genetic resources, part icularly those in centers of origin diversity. 7. Commitment to assisting HC PIs gain safe and legal access to IPs for use in their research and technology transfer act ivit ies. IPs are frequent ly vital to the achievement of economically, socially and environmentally acceptable solut ions to major product ion and ut ilizat ion constraints ident if ied w ithin the Legume Innovat ion Lab projects. They may also be mutually benef icial to the U.S. and the collaborat ing countries and associated regions. 8. Recognition of the strategic importance and value of indigenously generated IPs within host countries for their sustainable development. Countries in possession of IPs of commercial value are empow ered to take control of their economic futures. 9. Commitment to building alliances with private sector industries in both the U.S. and in HCs in order to take forw ard many of the creat ions of the research and to assure effect ive and sustainable disseminat ion of Legume Innovat ion Lab technologies to intended end users such as small-scale farmers and w omen. 10. Commitment to the training and the preparation of HC scientists and professionals in the use of IPs to facilitate research, accelerate technological development, and to generate IPs that can be commercialized. The Legume Innovat ion Lab contributes to this process through

68

t raining, both degree and non-degree, the equipping of laboratories, and by providing access to scient if ic expert ise w orldw ide through a netw ork of pulse scient ists. 11. Commitment to the ongoing evaluation of the socio-economic and environmental impacts of Legume Innovat ion Lab technologies. This commitment is based in part on the recognit ion that some IPs have the potent ial for negat ive social and environmental impacts w hen the technologies are improperly introduced or mismanaged. 12. Commitment to assisting collaborating HC researchers in the development of guidelines for safe and legal handling and use of IPs w ithin their respect ive inst itut ions, before research and technology transfer act ivit ies are init iated. This is in recognit ion that certain HCs and inst itut ions in Africa and Lat in America may not have established IP policies and biosafety guidelines similar to those set forth by the Nat ional Inst itutes of Health (NIH).

69

APPENDIX K

Legume Innovation Lab (April 1, 2013 – Sept 29, 2017)

TRAINEE INFORMATION FORM

Trainee Name (complete name as in passport): _________________________________________ Inst itut ional Aff iliat ion of the trainee: __________________________________________ Name of University and Country w here enrolled: ________________________________________ Tit le of Training Program and degree to be aw arded: ________________________________

_______________________________________________________________________________ Date of Init ial Entry into the U.S. or Third Country: ___________

Date of expected complet ion of t raining: ______________ Visa Type (U.S Only): ____________________________________________________________ If J-1, w as a USAID-sponsored DS-2019 obtained through TraiNet? Yes ____ Other Sponsor _____ If t raining is in Third Country, w as student entered into TraiNet? Yes _____ No _____ Typed Name of Qualif ied U.S. University Representat ive: _______________________________ Signature of Qualif ied U.S. University Representat ive: _________________________________ Please attach copies of the follow ing from the Legume Innovat ion Lab Trainee’s passport :

Inside front page of passport w ith personal photo and personal data

Copy of page w ith U.S. visa Send completed form and attachments to the Management Off ice of the Legume Innovat ion Lab. Legume Innovat ion Lab Attent ion Angelica Santos Just in S. Morrill Hall of Agriculture

446 West Circle Drive, Room 321 Michigan State University East Lansing, MI 48824

70

APPENDIX L

INTERNATIONAL TRAVEL AUTHORIZATION REQUEST

71

APPENDIX M

EQUIPMENT AUTHORIZATION AND REQUEST TO PURCHASE

This form must be submitted to the management office for all purchases of equipment. Equipment is defined in 22CFR part 226 as tangible property "having a useful life of more than one year and an acquisition cost of $5,000 or more per unit." Written approval by the USAID/W Contract Office is required prior to purchase.

SAMPLE on following page

72

Feed the Future Innovation Lab for Collaborative Research on Grain Legumes Equipment Authorization and Request to Purchase Project Officer Date: USAID/ M/0AA Washington DC 20523-2110 Principal Investigator: Lead Institution/Project #: EDH-A-00-07-00005-00 WRITTEN APPROVAL BY USAID/W CONTRACT OFFICE IS REQUIRED WHEN THE UNIT COST

EXCEEDS $5,000. Tangible non-expendable general and special purpose personal property (equipment) including exempt property charged directly to the award having a useful life of more than one year and an acquisition cost of $5,000 or more per unit. X Item requires source and/or origin waiver if source (vendor) and/or origin (manufacturer) are

other than U.S., other than a developing country where the work is taking place, or country that is a direct recipient of the aid. Complete the justification for waiver on reverse side.

Item(s) to be purchased:

Quantity: 1 Unit Price (U.S.$): Total Price:

Equipment will be used in what location:

Person(s) responsible for equipment:

Suggested Vendor and Country of Source/Origin:

________________________________________________________________________________

Discussion/Justification: ___________________________________ / __________ Principal Investigator Date

____________________________________/____________ Legume Innovation Lab Program Director Date

___________________________________/____________ AOR (Project Officer), USAID/W Date

EQUIPMENT AUTHORIZATION: PAGE 2 Source/Origin Waiver: Justification: Q. Why must non-U.S., non- developing country, vendor/manufacturer be used? A.

73

Q. If purchase is made in host country site, is it an "off-the-shelf" item? Are spare parts and qualified dealers/technicians available for maintenance? A.

74

APPENDIX N

DATA MANAGEMENT PLANS