FY 2018

VS Grants and Agreements

Program Guide

Program Guidance

and

Application Information

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Table of Contents

PURPOSE ....................................................................................................................................................... 5

BACKGROUND ............................................................................................................................................... 5

SECTION 1: REFERENCES AND FORMS .......................................................................................................... 7

1.1 References .................................................................................................................................... 7

1.2 Forms ............................................................................................................................................ 8

SECTION 2: GENERAL GUIDANCE ................................................................................................................. 9

2.1 Eligible Applicants ......................................................................................................................... 9

2.2 Period of Performance ................................................................................................................ 10

2.3 Cooperative Agreement Process ................................................................................................ 11

2.4 Funding ....................................................................................................................................... 13

2.4.1 Cost Types ........................................................................................................................... 13

2.4.2 Cost Principles – General Provisions for Selected Items of Cost ........................................ 17

2.4.2.4 Pre-Award Costs .................................................................................................................. 20

2.4.3 Claims .................................................................................................................................. 21

2.4.4 Revisions/Amendments ...................................................................................................... 21

2.4.5 Deobligation of Unused Funds ............................................................................................ 23

2.5 Information Technology .............................................................................................................. 23

2.6 Research ...................................................................................................................................... 25

2.7 Travel........................................................................................................................................... 25

2.7.1 General ................................................................................................................................ 25

2.7.2 Out-of-State Travel ............................................................................................................. 26

SECTION 3: WORK AND FINANCIAL PLAN DEVELOPMENT ........................................................................ 27

3.1 Work Plan .................................................................................................................................... 27

3.2 Financial Plan .............................................................................................................................. 28

3.3 Other Required Documents ........................................................................................................ 29

3.4 Animal Disease Traceability (ADT) Work Plan Specifics ............................................................. 30

3.4.1 Allowable Use of USDA ADT Funds ..................................................................................... 31

3.4.2 Unallowable use of USDA ADT Funds ................................................................................. 33

3.4.3 APHIS Role in ADT Cooperative Agreements ...................................................................... 33

SECTION 4: PROGRAM GOALS AND OBJECTIVES ....................................................................................... 34

4.1 Animal Health Commodity Goals ................................................................................................ 34

4.1.1 General Surveillance ........................................................................................................... 35

4.1.2 Avian Diagnostic Testing ..................................................................................................... 43

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4.1.3 Education and Outreach Goals ........................................................................................... 45

4.1.4 Preparedness and Response Goals ..................................................................................... 48

4.2 Animal Disease Traceability Goals .............................................................................................. 50

4.2.1 ADT Goals and Objectives ....................................................................................................... 51

SECTION 5: REPORTING ............................................................................................................................ 522

5.1 Financial Reporting ................................................................................................................... 533

5.2 Performance Reporting ............................................................................................................... 53

5.2.1 Quarterly Performance Reporting .................................................................................... 533

5.2.2 Final Performance Reporting ............................................................................................ 533

5.3 Extension for Reporting .............................................................................................................. 54

5.4 Overdue Reports ......................................................................................................................... 54

5.5 Prior Year Reports ....................................................................................................................... 54

5.6 Report Templates ...................................................................................................................... 544

SECTION 6: CLOSE OUT .............................................................................................................................. 56

SECTION 7: RECORDS MANAGEMENT ....................................................................................................... 56

7.1 Record Retention ........................................................................................................................ 56

ATTACHMENTS:

Attachment A: Project Proposal/Work Plan and Budget ............................................................................ 58

Attachment B: Detailed Financial Plan........................................................................................................ 69

Attachment B.1: ADT Required Financial Plan ............................................................................................ 71

Attachment C: Certification Regarding Lobbying........................................................................................ 71

Attachment D: [Removed]

Attachment E: Property Report for Equipment .......................................................................................... 71

Attachment F: Sample Pre-Award Request from Recipient ....................................................................... 72

Attachment G: Questionnaire Used For Audit Desk Reviews .................................................................... 73

Attachment H: Work Plan Formulation Table ........................................................................................... 61

APPENDICES:

Appendix A.1: National Scrapie Eradication Program FY2018, Sheep and Goat Sampling Minimums .... 73

Appendix A.1.1: Concentration Point Sheep/Goat Compliance Report ................................................. 74

Appendix A.2: Swine Health Active Surveillance Sampling Targets Tables ................................................ 75

Appendix A.3: CSF and PRV/SB Active Surveillance Field Sampling Guidance ........................................... 76

Appendix A.4: Cattle Health Surveillance Activities .................................................................................... 78

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Appendix A.4.1: Epidemiological Investigations and Disease Response Activities ................................. 78

Appendix A.4.2: Cattle Health Brucellosis and Tuberculosis Activities ................................................... 79

Appendix A.5: Epidemiological Investigations and Disease Response Activities for Commodity/Centers (other than Cattle Health) ........................................................................................................................... 79

Appendix B.1: ADT Cooperative Agreement Program Manager Checklist FY2018 ................................... 80

Appendix B.2: ADT – Outreach ................................................................................................................... 80

Appendix B.3: Description of Outreach or Education Activity .................................................................... 80

Appendix B.4: Program Specific Outreach or Education Activity ............................................................... 80

Appendix B.5: RSSS Activities for the Reporting Period.............................................................................. 81

Appendix B.6: Non-RSSS Surveillance Activities for the Reporting Period ................................................. 81

Appendix B.7: Investigations and Activities for FAD, Zoonotic/One Health and Non-program Diseases . 82

Appendix B.8: Avian Health Surveillance Goals ......................................................................................... 83

Appendix B.9: Avian Equipment Request Form .......................................................................................... 84

Appendix C: Avian Influenza Data Requirements ...................................................................................... 84

TABLES: Table 1: List of References ............................................................................................................................ 7

Table 2: List of Forms .................................................................................................................................... 8

Table 3: 2 CFR – Subpart E – Cost Principles General Provisions for Selected Items of Cost ..................... 17

Table 4: Recommended Diagnostic Tests for AI Active Surveillance .......................................................... 44

Table 5: Avian Health Surveillance Goals .................................................................................................... 45

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PURPOSE The purpose of this Grants and Agreements Program Guide is to outline the meaning, process, purpose and administrative guidance for applying for a Cooperative Agreement with Veterinary Services (VS). The document will provide needed information on the main purpose of the agreements, the process by which cooperative agreements are approved, required documents, and templates to be used when applying for and reporting on an approved agreement. VS identifies three distinct categories of Cooperative Agreements. Those categories are Umbrella Agreements, Animal Disease Traceability Agreements, and Other Agreements:

Umbrella Agreements cover all animal disease activities with the exception of animal disease traceability.

Animal Disease Traceability Agreements cover all activities identified for traceability.

Other Agreements are provided on a case by case basis. Often, these agreements are for emergency animal health outbreaks or pilot programs. Recipients will be advised of these types of opportunities.

The information contained in this Program Guide will be used for all new awards, continuations, and revisions to existing awards. This Guide has been designed for use by both recipients and VS staff.

BACKGROUND VS conducts the mission of animal health safeguarding as part of the Animal and Plant Health Inspection Service (APHIS), an agency of the United States Department of Agriculture (USDA). As a 21st century animal health organization, VS is engaged and vigilant across the full spectrum of animal health. VS employees work cooperatively with producers, industry representatives, State and local governments, Tribes, professional organizations, scientists, and academia throughout the United States.

As the Nation’s veterinary authority, VS improves the health, productivity, and quality of life for animals and people, and maintains and promotes the safety and availability of animals, animal products, and veterinary biologics. VS integrates One Health principles with our USDA business objectives by contributing leadership, expertise, infrastructure, networks, and systems to collaborate effectively with local, State, Tribal, national and international partners. Our comprehensive and integrated surveillance activities provide us the capability to achieve national goals for animal disease prevention, detection, and early response.

The VS Grants and Agreements Program provides funding for surveillance, monitoring, reporting, and prevention and control activities through a comprehensive approach for animal health management. VS reduced the total number of agreements administered each year to substantially improve the efficiency and effectiveness of the grants and agreements process for both federal and state offices. The Umbrella Agreement combines multiple animal health activities into one agreement with one Recipient. Section 4, Program Goals and Objectives, outlines specific guidance and the format applicants need to follow when applying for the Umbrella Agreement.

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The Animal Disease Traceability (ADT) Road Map was executed in 2012 to support the animal disease traceability framework announced by USDA in early 2010. A key principle of the new approach is that States and Tribes determine and implement traceability solutions that work best at the local levels to help ensure optimum support from producers. As the ADT continues to advance through this approach, greater stability in the States’ implementation of traceability solutions are anticipated. The roadmaps, as noted in the guidelines, should be updated as plans are adjusted to reflect actual practices and solutions being implemented. With the maturity of the ADT and its successes, road maps continue to be of significant importance. To increase the awareness and access to the road maps, they will be posted on the traceability website to align with the ADT 2018 Cooperative Agreement periods. Special attention should be given by each State applying for 2018 ADT Cooperative Agreements to have their road maps reflect current and accurate information. The most recent road maps for each State will be posted on the Animal Disease Traceability website as 2018 ADT Cooperative Agreements are signed. As with prior year agreements, the Surveillance, Preparedness, and Response Services Unit (SPRS) of VS will be responsible for administering Cooperative Agreements. SPRS personnel will also provide advice to the Recipient, track funding, receive and review program reports, offer comments and suggestions, and track project performance. SPRS personnel will meet with Recipients as often as necessary to ensure progress in accomplishing the goals of the project, identifying obstacles, and resolving concerns.

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SECTION 1: REFERENCES AND FORMS

1.1 References Recipients are reminded to review the following regulations and ensure that grant/cooperative agreements activities are conducted in accordance with the applicable guidance: Table 1: List of References

Reference Number/Link Name of Reference

Executive Orders and OMB Circulars Executive Order 12372 Intergovernmental review of Federal Programs

Executive Order 12549 Debarment and Suspension

OMB Circular A-129 Policies for Federal Credit Programs and Non-Tax Receivables

United States Code/Public Laws 7 U.S.C. 2279 Outreach and assistance for socially disadvantaged farmers and

ranchers

18 U.S.C 287 The False Claims Act - False, fictitious or fraudulent claims

18 U.S.C. 1001 The False Claims Act - Statement or entries generally

31 U.S.C. Chapter 63 – 6301-6308 Federal Grant and Cooperative Agreement Act of 1977

31 U.S.C. 1352 Limitation on use of appropriated funds to influence certain Federal contracting and financial transactions

31 U.S.C. 6501 The Cash Management Improvement Act of 1990, P.L 101-453, as amended

41 U.S.C. Chapter 83 10a – 10 c The Buy American Act

Public Law 91-190 National Environmental Policy Act of 1969 (NEPA)

Public Law 109-282 Federal Funding Accountability and Transparency Act (FFATA)

Public Law 110-246 Food, Conservation, and Energy Act of 2008

Code of Federal Regulations 2 CFR Grants and Agreements

2 CFR Part 25 Universal Identifier and Central Contractor Registration

2 CFR Part 170 Reporting Subaward and Executive Compensation Information

2 CFR Part 170.320 Federal Financial Assistance Subject to the Transparency Act

2 CFR Part 180 OMB Guidelines to Agencies on Government-wide Debarment and Suspension (Non-procurement)

2 CFR Part 200 Uniform Administrative Requirements and Cost Principles for Federal Awards

2 CFR Part 200.500 Audit Requirements

2 CFR Part 400 Federal Agency Regulations for Grants and Agreements

2 CFR Part 417 Department of Agriculture – Non-Procurement Debarment and Suspension

5 CFR Part 1320 Controlling Paperwork Burdens on the Public

7 CFR Agriculture

7 CFR 2.80 Delegation of Authority for Animal Plant Health Inspection Service (APHIS)

7 CFR 371.4 Authorities for Veterinary Services

9 CFR Animal and Animal Products

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Reference Number/Link Name of Reference 31 CFR, Part 205 Rules and Procedures for Efficient Federal-State Funds Transfers

48 CFR, Subpart 9.4 Federal Acquisition Regulation (FAR) – Debarment, Suspension and Ineligibility

Catalog of Federal Domestic Assistance 10.025 Plant and Animal Disease, Pest Control, and Animal Care

10.028 Wildlife Services

APHIS Directives APHIS Directive 2280.1, 6/20/14 Suspension and Debarment

APHIS Directive 3220.1, dated 02/04/13 APHIS Information Technology (IT) Acquisition Approval Request (AAR) Requirements (Changes issued on 06/05/2014)

Departmental Regulations Departmental Regulation (DR) 1700-2 OIG Organization and Procedures, dated 6/17/97

Departmental Regulation (DR) 2280-001 Suspension and Debarment, dated 01/16/13

1.2 Forms Table 2: List of Forms

Forms

Form Number/Link Form Name SF 270 Request for Advance or Reimbursement

SF 424 Application for Federal Assistance

SF 424A Budget Information – Non-Construction Programs

SF 424B Assurances – Non-Construction Programs

SF 425 Federal Financial Report

SF LLL Disclosure of Lobbying Activities

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SECTION 2: GENERAL GUIDANCE A Cooperative Agreement as defined in 2CFR Part 200.24 is a “legal instrument of financial assistance between a Federal awarding agency or pass-through entity and a non-Federal entity.” It provides for substantial involvement between APHIS VS and the non-Federal entity in carrying out the activities identified in the award. The Recipient is a non-Federal entity that receives a Federal award directly from a Federal awarding agency to carry out an activity under a Federal program. The term recipient does not include sub-recipients. See also §200.69 Non-Federal entity. Reference 2 CFR Part 200.86 The Non-Federal entity is a state, local government, Indian tribe, institution of higher education (IHE), or nonprofit organization that carries out a Federal award as a recipient or sub-recipient. Reference 2 CFR Part 200.69 The number and scope of Cooperative Agreements have increased dramatically over recent years, resulting in an increased administrative workload for VS. VS continues to improve the accountability for and documentation of funds and program performance through enhanced performance reporting required by the Performance Management Act. Most VS Cooperative Agreements will begin and end in the same cycle, and States and VS officials will be able to coordinate activities to ensure the agreement negotiation process runs smoothly and uniformly. Grants and agreements will be processed using the online grants management system called ezFedGrants (also abbreviated as eFG). This system replaced the cumbersome process of submitting documentation via mail, fax or email, and enhanced the speed, accuracy, review and record keeping required by Recipients, Program Managers, and Grants Specialists.

2.1 Eligible Applicants VS provides funding to States, local governments, Indian Tribes, institutions of higher education, or non-profit organizations to assist them in carrying out the programs identified in this Guide. Each applicant must have a valid and current Data Universal Numbering System (DUNS) number. A DUNS number is a unique nine digit identification number for each physical location of your business. Requesting a DUNS number is free, obtained through Dun and Bradstreet and is required to register with the US Federal Government for contracts, grants or agreements. This is a one-time registration. In addition, each applicant must be registered in the System for Award Management (SAM). SAM is the official U.S. Government system that combined the capabilities of the Central Contract Registry (CCR)/Fed Reg, On-Line Representations and Certifications Application (ORCA) and Excluded Parties List System (EPLS). There is no fee to register on this site. A DUNS number will be needed. SAM has an initial registration with an annual registration renewal. The entity must have an active status in SAM in order for claims (payments) and amendments to be processed in eFG.

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Applicants need to have USDA Level 2 eAuthentication in order to get into the new on-line grants management system, eFG. Once eAuthentication has been acquired, a request needs to be made by entering into the external portal of eFG by using https://nfc.usda.gov/FSS/ClientServices/ezFedGrants/. Executive Order 12372 – Intergovernmental Review of Federal Programs requires all applicants from States to submit a copy of their federal assistance application to the State Single Point of Contact (SPOC), if one exists and if APHIS’ program has been selected for review by the State. Those selected for APHIS VS program review under CFDA 10.025 can be found at http://www.aphis.usda.gov/mrpbs/fmd/downloads/spoc_list.pdf. NOTE: A copy of the letter from the SPOC indicating the agreement was either reviewed or waived should be included in the agreement package. This copy will be an attachment with the Application for Funding in eFG. The SPOC letter should include the State Application Identifier (SAI) number. NOTE: Applications for FY 2018 funds will not be considered for award if there are any outstanding, delinquent performance or financial reports from previous fiscal year agreements. For Avian Health funding, this includes the submission of annual VS 9-4, Summary of Breeding Flock Participation, reports to the National Poultry Improvement Program (NPIP) office. All Recipients will be checked for Suspension or Debarment prior to entering into an agreement. Refer to APHIS Directive 2280.1, Suspension and Debarment, dated 6/20/14 for more information.

2.2 Period of Performance

The Period of performance is the “time during which the non-Federal entity may incur obligations to carry out the work authorized under the Federal award. The Federal awarding agency or pass-through entity must include start and end dates of the period of performance in the Federal award”. Reference 2 CFR Part 200.77 The period of performance for most FY 2018 awards is 12 months from the date of award. Most of the agreements will run from April 1 to March 31. There is an allowance of a one-time no cost extension request of the performance period up to 12 months. Extensions will be considered on a case-by-case basis. A justification request is required for an extension. This request must be submitted to the Signatory Official through the Program Manager, in writing, no less than ten (10) days prior to the expiration of the award. A revised SF-424, Application for Federal Funding, should be include with the request letter. An extension will not be approved solely to liquidate unobligated funds; there must be valid reasons as to why approved goals and objectives were not met during the original performance period. Reference 2CFR Part 200.308 d (2). Any unobligated funds will be de-obligated at close out (see Section 6 for additional information regarding close out processes).

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2.3 Cooperative Agreement Process Recipients must use the eFG system to apply for an award with VS. The eFG system requires each Recipient to have a minimum of two individuals operating in the system. To complete all tasks in the eFG External Portal, you must have at least one user with the Grants Administrative Officer (GAO) role and at least one user with the Signatory Official (SO) role. If you are Recipient new to eFG, please review the Job Aids located in the Training Section of the USDA Financial Shared Services eFG recipient page, https://nfc.usda.gov/FSS/ClientServices/ezFedGrants/ Below is a chart showing the various roles a Recipient can designate in the system. The Grants Processor role is optional while the GAO and SO roles are required. It is best practice to have at least one back up in each role in order to keep items, such as claims or amendments, moving through the system.

The next three charts show visual work flows of processes in eFG. The colors used in the charts represent the following:

Purple = Outside of eFG Green = eFG External Portal Blue = eFG Internal Portal

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The flow chart below outlines the awarding process. The Recipient will first need to apply to an Opportunity. The Application submitted through the Opportunity, once approved, will trigger the Award document creation. The Award document is an Award Face Sheet along with standard Terms and Conditions.

The flow chart below shows the steps an Application for federal funding will go through for approval.

The flow chart below illustrates the steps an Agreement goes through after the application has been approved. The agreement is created by the VS Grants Specialist, eFG generates the Award Face Sheet.

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2.4 Funding

Firm estimates regarding funding availability for Cooperative Agreements may not be available for at least 1 to 2 months after the Appropriation Act has passed. Once the Act has passed, VS will determine how much funding will be available for Cooperative Agreements. If operating under a Continuing Resolution, total award amounts of a Cooperative Agreement may or may not be awarded based on direction from Congress. Recipients are encouraged to consult with their respective Assistant Director/Program Manager to determine the status of the budget before finalizing work plans. An Agreement can be funded only to address a bona fide need. The bona fide needs rule is a rule of appropriations law. It mandates that a fiscal year’s appropriations only be obligated to meet a legitimate – or bona fide – need arising in the fiscal year for which the appropriation was made. The Federal fiscal year runs from October 1 to September 30. If Agreements do not begin within the current fiscal year, then an agreement award would not meet the requirements of the bona fide needs rule. Many Agreements in VS are funded with Annual and No-year funding. Annual funding expires on September 30. Recipients however have until the end of their Agreement period to obligate these funds. Although No-year funding does not expire on September 30, Recipients may only obligate funds during the Period of Performance of their Agreement. Refer to Section 2.2 for information regarding obtaining an Extension to the Period of Performance. Paying for an Agreement with prior Annual funding or future-year funding is prohibited.

2.4.1 Cost Types

2.4.1.1 Direct Cost

Direct Costs as defined in 2 CFR Part 200.413, “those costs that can be identified specifically with a particular final cost objective, such as a Federal award, or other internally or externally funded activity, or that can be directly assigned to such activities relatively easily with a high degree of accuracy.” 0F

1 Direct costs are fully negotiable.

2.4.1.2 Indirect (F&A) Costs

Indirect Costs are defined in two broad categories “Facilities” and “Administration.” Both categories are defined in 2 CFR Part 200.414. Indirect costs are negotiated by the recipient and their cognizant agency. The cognizant agency is the federal agency that provides the most federal funds to the Recipient. 2 CFR 200.19 provides additional detail. The result of this negotiation is a Negotiated Indirect Cost Rate Agreement (NICRA).

1 2 CFR Part 200 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards – Subpart D – Post Federal Award Requirements

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1. Facilities as defined in 2 CFR Part 200.414, “depreciation on buildings, equipment and capital

improvement, interest on debt associated with certain buildings, equipment and capital

improvements, and operations and maintenance expenses.”1F

2

2. Facilities and Administrative (F&A) Costs as defined in 2 CFR Part 200.56, “those costs incurred

for a common or joint purpose benefitting more than one cost objective, and not readily

assignable to the cost objectives specifically benefitted, without effort disproportionate to the

results achieved.”

3. Administration as defined in 2 CFR Part 200.414, “general administration and general expenses

such as the director’s office, accounting, personnel and all other types of expenditures not listed

specifically under one of the subcategories for “Facilities.”

Indirect Costs may be limited by statute or regulation, but otherwise, agencies must accept the indirect cost rate negotiated between the recipient and their cognizant agency. Once a NICRA is approved, during the effective period, the recipient may apply for a one time extension for a period up to four years. The extension is subject to review and approval of the cognizant agency. NOTE: Negotiated Indirect Cost Rate Agreements (NICRA) are to include the signature page when submitted with the Application package. Also, ensure that the effective dates of the rates parallel the funding period of the award. Statutory Cap on Indirect Costs: Annually the Agricultural Appropriations bill is signed into law, within the General Provisions there is language that places a statutory cap of 10 percent on indirect costs that can be claimed on cooperative agreements with nonprofit organizations. When the statutory cap applies, APHIS cannot pay indirect costs in excess of 10 percent of the total direct costs of the agreement. If the application of the recipient’s rate is less than 10 percent of total direct costs, then their negotiated indirect cost rate applies. The 10 percent limit applies only to cooperative agreements; it does not apply to grants awarded by APHIS. When discussing indirect costs, the definition for nonprofit institutions differs from the definition given in the cost principles. Nonprofit institutions include both private and public organizations including colleges, universities, schools, hospitals, and others. State, local, and Indian tribal governmental entities are not considered nonprofit institutions. Below are two examples which illustrate the proper application of the indirect cost rate, considering the statutory cap. Example 1: Yellowstone Fish and Wildlife Society (an IRS classified Nonprofit) Cooperative Agreement with total direct costs of $100,000. The Society has an indirect cost rate of 30% and the base for application is salaries, wages, and fringe benefits. The Society’s SF-424A states that $70,000 will be spent on salaries, wages, and fringe benefits. The remaining $30,000 is for travel, contracts, and equipment.

2 Same as above

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In this case, if the 10% statutory cap was applied, the indirect costs would be 10% X 100,000=$10,000. If their 30% rate was applied to the base of $70,000 (salaries, wages, and fringe benefits), the indirect costs would = $21,000. In this scenario, the statutory cap would apply and they could only claim $10,000 in indirect costs. Example 2: Kansas State University (KSU) Cooperative Agreement with total direct costs of $100,000. KSU has an indirect cost rate agreement of 15% and the base for application is exclusively salaries and wages. KSU’s SF-424A states that $50,000 will be spent on salaries and wages. The remaining $50,000 is for travel, supplies, and training. In this case, if the 10% statutory cap was applied, the indirect costs would be 10% X $100,000 = $10,000. If their 15% rate was applied to the base of $50,000 (salaries and wages), the indirect costs would be 15% X $50,000= $7,500. In this scenario, KSU’s rate would apply since it is less than the statutory cap.

2.4.1.2.1 Indirect Cost Reimbursement VS will not reimburse these costs unless the recipient has a signed, current established indirect cost rate covering applicable activities and period of time for the current award. A copy of the signed, current NICRA is required with the application package. The 2 CFR Part 200 allows new recipients who have never negotiated an indirect cost rate agreement to elect a de minimis rate of 10% of the Modified Total Direct Costs (all salaries and wages, applicable fringe benefits, materials and supplies, services, travel and subawards as well as subcontracts up to the first $25,000 of each subaward or subcontract). The de minimis rate cannot be claimed by state and local governments or tribal governments who receive more than $35 million in direct federal funding each year. When an agreement budget/funding period does not coincide with the same period for which the rate was established, it may be necessary to use 2 different rates in computing the amount of indirect costs applicable to the agreement budget, i.e., the rates established for the two years during which the agreement was performed. If there is a change to the NICRA rate, the Recipient must send in the updated, signed NICRA to the Grant Specialist.

If indirect costs were previously claimed based on the use of a “provisional” rate and a “final” or a “fixed” rate is determined prior to the end of the Agreement period of performance, adjustments to the claims are required to reflect the establishment of the final or fixed rates. Any adjustments under Federal awards (grants, contracts, and cooperative agreements) by Federal agencies must be made in accordance with the policies of the appropriate agencies. If indirect costs were previously claimed based on the use of a fixed carry forward rate, all adjustments for the period covered by the fixed rate will be made in a subsequent rate negotiation in accordance with the provisions of the Negotiation Agreement.

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2.4.1.3 Cost Sharing and Matching

Cost sharing and matching as defined in 2 CFR Part 200.29, “portion of the project costs not paid by Federal funds (unless otherwise authorized by Federal statute). 3F

3

1. Cost sharing – refers to the portion of the federally assisted project not borne by the Federal

Government, i.e., a recipient’s participation on the total cost of the project. For example, if the

recipient “cost-sharing” is 33 1/3 percent, then the Federal share is 66-2/3 percent of the

recipient’s total project costs.

2. Cost matching – refers to the portion of the federally assisted project not borne by the Federal

Government and it directly compares Federal and non-federal participation dollar for dollar. For

example – a 50% match of Federal funds means that the recipient must provide 50 cents for

every Federal dollar. A 100 percent match means one recipient dollar (or dollar value) for every

Federal dollar.

The cost share or cost match as indicated in the Terms and Conditions is the minimum amount required that must be supported by the recipient. The cost-sharing and cost matching must be made for expenditures charged directly to the APHIS grant or cooperative agreement, not to a broader program. APHIS sets its maximum contributions in the Terms and Conditions. Therefore, cost overruns are borne by the recipient unless a proper and timely revision to the award is negotiated. When cost sharing and cost matching are stipulated in legislation, timely revisions are imperative.4F

4 if a recipient includes cost

sharing in their budget proposal and it is accepted by VS, the commitment of funds becomes legally binding and is subject to audit. In VS, there is a legislative requirement that Brucellosis Eradication Programs contain a minimum matching by states of at least 40 percent. No other VS programs currently require a cost share/match. The amount of the recipient's cost share or cost match during the period covered by the Federal Financial Report, SF-425, Section 10. Line i - k. must be indicated on that report. If the recipient did not contribute during the period, "0" must be entered on the appropriate line of the SF-425. In monitoring the agreement, the Program Manager should alert the Recipient, Grant Specialist and the APHIS Signatory Official (SO) when the recipient is not meeting its cost-share ratio or cost-match requirement as stipulated in the agreement so that action can be taken to (1) reduce the next award, (2) reduce APHIS' share proportionately, or (3) allow the reduced cost share when it is in the best interest of the Federal Government. Any of the three options require a revision to the agreement prior to its expiration. Once the agreement has expired, adjustments to a cost share cannot be approved; therefore, all final SF-270s and SF-425s must reflect the cost share as originally indicated in the agreement. Reference 2 CFR Part 200.306.

3 Same as above 4 APHIS Agreement s Management Manual Revision 8 – Chapter 4

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2.4.1.4 Identifying Laboratory Costs for “Fee for Service” Objective

All laboratory costs and processes shall be identified as a separate objective in the work plan, which include support for surveillance testing. The Recipient shall identify which approved laboratories will be conducting diagnostic testing, the total cost-per-test for each test type, and all costs included in the evaluation of the cost-per-test quoted. Costs should be calculated from the time the sample enters the laboratory to the reporting of results back to the submitter. This may be inclusive of: personnel, diagnostic kits, reagents, consumable laboratory supplies, equipment depreciation/lifecycle replacement, equipment maintenance and proficiency testing. Costs not directly associated with sample testing should be listed separately under the laboratory objective, with ample justification as to how these items support the program goals and objectives and why they would not be included in the cost-per-test calculation. Justifications for support of these costs will be evaluated on a case-by-case basis. If laboratory equipment is being requested, the attached Equipment Request form (Appendix B-9) must be included with the work plan. Do not include any costs which are covered by other laboratory funding sources such as NAHLN or NIFA funding. Funding may also be utilized for NPIP sponsored training for laboratory technicians. This information can be reported in the narrative portion of the work plan or on the detailed financial plan. If the testing is done as a subcontract, report the cost under “Contractual”; if it is done in a Recipient’s laboratory show the cost under “Other” on the detailed financial plan. All billing for laboratory costs shall be done on a cost-per-test basis; e.g. 500 samples @ $10.00 equals $5,000. In the quarterly Performance Reports show the number of tests performed each month for each test type. The detail of the number of tests, cost per sample, what type of test is all information that is needed to support the request in the financial plan.

2.4.2 Cost Principles – General Provisions for Selected Items of Cost The list below provides the types of cost allowed, disallowed, and restricted in accordance with 2 CFR Part 200. This list will assist both the Federal agency and Recipient in identifying the merit of costs outlined in the agreement. Additional information on cost can be obtained by clicking on the identified 2 CFR Part associated with each cost type. Note: Items identified as Allowable are negotiable. Items identified as Restricted may have some costs that are allowable but others that are unallowable. Refer to the CFR Part listed for more information. Table 3: 2 CFR – Subpart E – Cost Principles General Provisions for Selected Items of Cost

Type of Cost 2 CFR Part Classification of Costs Advertising and Public Relations Costs 200.421 Restricted – refer to CFR

Advisory Councils 200.422 Unallowable – unless authorized by statute, the Federal agency or as an indirect costs where allocable to Federal awards

Alcoholic Beverages 200.423 Unallowable

Alumni/ae Activities 200.424 Unallowable

Audit Services 200.425 Restricted – refer to CFR

Bad Debts 200.426 Unallowable

Bonding Costs 200.427 Restricted – refer to CFR

Collections of Improper Payments 200.428 Refer to CFR

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Type of Cost 2 CFR Part Classification of Costs Commencement and Convocation Costs 200.429 Unallowable except as provided for

in Appendix III to Part 200-Indirect (F&A) Costs Identification and Assignment, and Rate Determination for Institutions of Higher Education, paragraph (B)(9) Student Administration and Services, as student activity costs.

Compensation – Fringe Benefits 200.431 Allowable – provided that the benefits are reasonable and are required by law, non-Federal entity-employment agreement or an established policy of the non-Federal entity.

Compensation - Personal Services 200.430 Refer to CFR

Conferences 200.432 Refer to CFR

Contingency Provisions 200.433 Restricted – refer to CFR

Contributions and Donations 200.434 Unallowable

Defense and prosecution of criminal and civil proceedings, claims, appeals, and patent infringements.

200.435 Restricted – refer to CFR

Depreciation 200.436 Restricted – refer to CFR

Employee Health and Welfare Costs 200.437 Refer to CFR

Entertainment Costs 200.438 Unallowable

Equipment and other capital expenditures 200.439 Restricted –refer to CFR

Exchange Rates 200.440 Allowable – prior approval of agency required – refer to CFR

Fines, penalties, damages, and other settlements 200.441 Unallowable – prior approval of agency required – refer to CFR

Fund raising and investment management costs 200.442 Restricted – refer to CFR

Gains and losses on disposition of depreciable assets

200.443 Restricted – refer to CFR

General costs of government 200.444 Unallowable

Goods or services for personal use 200.445 Restricted – refer to CFR

Idle facilities and idle capacity 200.446 Restricted – refer to CFR

Insurance and Indemnification 200.447 Restricted – prior approval of agency required – refer to CFR

Intellectual Property 200.448 Restricted – refer to CFR

Interest 200.449 Restricted – refer to CFR

Lobbying 200.450 Unallowable – refer to CFR

Losses on other awards or contracts 200.451 Unallowable

Maintenance and repair costs 200.452 Allowable

Materials and supplies costs, including costs of computing devices

200.453 Allowable

Memberships, subscriptions, and professional activity costs

200.454 Restricted – refer to CFR

Organization Costs 200.455 Unallowable – prior approval of agency required – refer to CFR

Participant Support Costs 200.456 Allowable – prior approval of agency required – refer to CFR

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Type of Cost 2 CFR Part Classification of Costs Plant and Security Costs 200.457 Allowable

Pre-Award Costs 200.458 Restricted – refer to CFR

Professional Service Costs 200.459 Restricted – refer to CFR

Proposal Costs 200.460 Restricted – refer to CFR

Publication and printing costs 200.461 Refer to CFR

Rearrangement and reconversion costs 200.462 Allowable

Recruiting Costs 200.463 Refer to CFR

Relocation Costs of Employees 200.464 Restricted – refer to CFR

Rental Costs of Real Property and Equipment 200.465 Allowable – refer to CFR

Scholarships and Student Aid Costs 200.466 Restricted – prior approval of agency required – refer to CFR

Selling and Marketing Costs 200.467 Unallowable – prior approval of agency required – refer to CFR

Specialized service facilities 200.468 Allowable – refer to CFR

Student Activity Costs 200.469 Unallowable

Taxes (Including Value Added Tax) 200.470 Restricted – refer to CFR

Termination Costs 200.471 Restricted – refer to CFR

Training and Education Costs 200.472 Allowable

Transportation Costs 200.473 Allowable

Travel Costs 200.474 Refer to CFR

Trustees 200.475 Refer to CFR

2.4.2.1 Allowable Costs

Allowable costs are those costs identified in 2 CFR Part 200 and in the APHIS Program’s authorizing legislation. In addition, costs must be reasonable, allocable, and necessary to the project and comply with funding statute requirements. Recipients should refer to the table above and Section 4: Program Goals and Objectives to determine what program costs are allowable for that specific program. If Personal Protective Equipment (PPE) is an included cost in your Financial Plan, VS limits the amount of purchases to 72 hours or 3 days of supply. This limit is based on the average amount of time it takes to establish an incident command and receive deliveries from the National Veterinary Stockpile. Note: Costs that are allowable under one program may be specifically prohibited under another program.

2.4.2.2 Disallowable Costs

Disallowed costs means those charges to a Federal award that the Federal awarding agency or pass-through entity determines to be unallowable, in accordance with the applicable Federal statutes, regulations, or the terms and conditions of the Federal award. Reference 2 CFR Part 200.31 The items below are costs that VS does not fund in cooperative agreement or grant awards:

1. Land Acquisition

2. Research

3. Compensation for Federal Employees

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4. Travel of Federal Employees

5. Construction and/or major rehabilitation of buildings

6. Bonuses or Commissions

7. Fund Raising

8. Meeting, Conference, Symposia and Workshop Honoraria, which is payment to individuals

or guests other than for documented professional services

9. Vehicle Purchases

10. Promotional, Outreach or Giveaway items such as rulers, pens, pencils, squishy balls, cups,

etc.

2.4.2.3 Restricted Costs

Restricted costs are those cost that have a mixture of allowable and unallowable cost and/or requires agency approval.

2.4.2.4 Pre-Award Costs Pre-award costs (also referred to as pre-agreement costs) are those costs incurred prior to the date the agreement is fully executed. Examples of situations that may require approval of pre-award costs include: (1) seasonality of work (i.e., insect emergence or hunting season), (2) emergency outbreak and need for immediate detection and containment, or (3) congressionally mandated timelines. While the pre-award request letter holds no value, this section talks to the costs incurred during the pre-award period. The recipient must submit a written request to the APHIS Signatory Official (SO) through the Program Manager to obtain approval to incur these costs (See Attachment F for an example of a pre-award request template). The request must include, at a minimum:

The required start date for incurring the costs;

The length of time, generally up to 90 days, for which these costs are being requested;

A justification explaining the programmatic need to begin incurring costs in anticipation of the

award;

An assumption of risk on the part of the Recipient, should funding not be available.

The APHIS SO must return a concurrence to the recipient acknowledging the request and provide the approval or reason for denial of the request. Attachment F provides an example of a pre-award letter. Verbal approval to enter into an agreement or incur costs is not valid. The period of pre-award costs are incorporated into the effective period of the agreement to ensure APHIS has an obligation against which to make payment.

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Pre-award costs are always incurred at the applicant’s risk. Reimbursement of pre-award costs is contingent on a signed Award Face Sheet. Pre-award costs must be allowable under the applicable cost principle. Approval of pre-award cost is contingent upon receipt of clearance from the SPOC for Executive Order 12372 process, if applicable.

2.4.3 Claims Claims or reimbursement requests are processed directly through eFG. The Recipient will submit a claim using the external portal. The Recipient must have an active SAM registration and be up to date on their required quarterly reports. The job aid attached below is to assist the Recipients in submitting claims.

Job Aid for Submitting a Claim in EFG

2.4.4 Revisions/Amendments Applicants may make modifications between and among the program disease categories within the total direct cost of the project. Per 2 CFR 308, Recipients are required to report deviations from budget or project scope or objective, and request prior approvals from Federal awarding agency, no later than 30 days from the expiration of the award, for budget and program plan revisions when the following applies:

1. Change in scope or objective of the project or program, even if there is no associated budget revision, requiring prior written approval.

1.5 Changes in scope cannot be approved after the period of availability of funds has expired as referenced in the United States Government Accountability Office, Principles of Federal Appropriations Law, GAO Chapter 10 Grants and Cooperative Agreements.

2. Change in key person specified in the application or award documents.

3. There is disengagement from the project for more than three months or a 25 percent reduction

in time devoted to the project by the approved project director or principal investigator.

4. The inclusion of costs that require PRIOR written approval in accordance with 2 CFR Subpart E – Cost Principals, 200.407.

5. The transfer of funds budgeted for participant support costs as defined in 2 CFR 200.75. 5.5 Participant support costs means direct costs for items such as stipends or subsistence

allowances, travel allowances, and registration fees paid to or on behalf of participants or trainees (but not employees) in connection with conferences, or training projects.

6. The subawarding, transferring or contracting out of any work, not including acquisition of

supplies, materials, equipment or general support services.

7. Request for additional funding.

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8. Changes in the amount of approved cost-sharing or matching.

9. Transfer of funds among direct cost categories or programs, functions and activities in which the cumulative amount of such transfers exceeds or is expected to exceed 10% of the total budget as last approved for awards $150,000 and greater. This is considered the 10% rule.

Generally, VS will not approve budget changes to allow purchase of general purpose equipment in the last quarter of the performance period, if it appears the modification is being made merely for the purpose of using unobligated funds. Requests for Budget Shifts should be done via email or memo to the Program Manager for approval. In

addition, the request will be forwarded to the Center for review. The request should include the

following information:

1. What is the amount of the shift?

2. Why is the shift occurring?

3. What cost categories is the funding being shifted from and to?

4. Will the original objectives still be accomplished with this shift?

5. Will this shift affect the scope of the agreement?

NOTE: Budget Shifts for agreements that do not meet the 10% rule, though not required, should still be sent to the Program Manager as a courtesy and should follow the requirements. All requested changes must be received by APHIS during the effective period of the award, no later than

30 days prior to the expiration of the award.

APHIS has 30 days to inform the recipient in writing of the decision, if the request is still under consideration after 30 days, APHIS shall inform the recipient in writing of the date when they may expect the decision. If budget changes are needed, the recipient will request budget changes in the same format that the recipient used in the original application (Application for Federal Assistance SF-424, Budget Information – Non-Construction Programs SF-424-A, and Detailed Budget) and must include a narrative justification for the proposed revision. This request will be made and approved prior to any actual budget changes. If the requested budget change is to increase the award amount from less than $100,000 to more than $100,000, the Disclosure of Lobbying Activities SF-LLL and the Certification Regarding Lobbying will be added to the package. The eFG system processes revisions/amendments differently depending on the type of revision needed. Regardless of the type of revision, the process always starts with a written request through the Program Manager who will in turn communicate with the SPRS Grants Specialist to determine what is needed. If the NICRA changes during the course of the performance period, no prior approval of shifts of funding is needed. A copy of the new NICRA needs to be sent to the SPRS Grant Specialist.

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2.4.5 Deobligation of Unused Funds Upon receipt of the final Federal Financial Report – SF 425, if there is an amount shown in Section 10., Line h, this is an unobligated balance. The SPRS Grant Specialist will provide written notification to the Recipient that the balance of Federal funds reported as unobligated will no longer be available and will be deobligated based on APHIS Policy. NOTE: If the unobligated balance is $1,000 or below shown on the final SF - 425, there will be NO notification prior to deobligation of those funds at close out. Unliquidated obligations: For financial reports prepared on a cash basis, these are obligations incurred by the non-Federal entity that have not been paid (liquidated). For reports prepared on an accrual expenditure basis, these are obligations incurred by the non-Federal entity for which expenditure has not been recorded. Reference 2 CFR Part 200.97 Unobligated balance is the amount of funds under a Federal award that the non-Federal entity has not obligated. The amount is computed by subtracting the cumulative amount of the non-Federal entity's unliquidated obligations and expenditures of funds under the Federal award from the cumulative amount of the funds that the Federal awarding agency or pass-through entity authorized the non-Federal entity to obligate. Reference 2 CFR Part 200.98

2.5 Information Technology Information Technology: Any equipment, interconnected system(s), or subsystem(s) of equipment that is used in the automatic acquisition, storage, manipulation, management, movement, control, display, switching, interchange, transmission, or reception of data or information by the Agency. The term

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“information technology” includes, but is not limited to, computers, network and ancillary equipment, software, firmware, and similar procedures, services (including support services), and related resources. Refer to APHIS Directive 3220.1, APHIS Information Technology (IT) Acquisition Approval Request (AAR) Requirements. (Internal use only) Some examples of “information technology” include:

1. Specialty desktop machines (e.g., Geographic Information System (GIS) workstations, computers which have a desktop operating system and are part of a laboratory system);

2. Scanning equipment or services;

3. Software programs or applications either developed in-house or by contractors, consulting

services, or Recipients;

4. Telephones, cell phones, Smartphones (e.g., Blackberries, iPhones) or Global Positioning System (GPS) equipment; and

5. Devices with an embedded operating system.

“Information Technology systems” is defined as computing devices, ancillary equipment, software, firmware, and similar procedures, services (including support services), and related resources”. (2CFR 200.58)5F

5 An Acquisition Approval Request (AAR) must be completed for an IT component of an agreement when the total cost of purchasing hardware, software, and/or support services, such as data entry, for the investment is $25,000 or greater for that fiscal year. An AAR must be tied to an investment in the APHIS portfolio. An IT acquisition approval can only be granted after justification documentation is provided by an agency in the form of an AAR. Approvals are tied to a given Fiscal Year (FY) and new requests must be submitted annually. VS employees should contact the APHIS VS Division of Information Technology for information on the AAR process. Recipients should allow for an additional two weeks for the AAR review process. Any cooperative agreement request identifying IT procurements that meets or is over the $25,000 threshold will be sent to APHIS Information Technology Division, Portfolio Management Branch (PMB) at pmb@aphis.usda.gov. Both the work plan and financial plan must be sent for review. Allow two weeks for the review to be completed and response on next steps. After the review is completed and if an AAR is required, the process to approve the AAR will be approximately six weeks. When connected to the USDA APHIS network or hosting APHIS information and/or information systems, compliance with the federal, USDA and APHIS security and privacy requirements to protect APHIS information and information systems against cyber threats and unauthorized intrusions is required by the Federal Information Security Management Act of 2002 (FISMA) and Privacy Act of 1974. Specific USDA guidelines are outlined in the USDA APHIS Cyber Security Manual (internal use only).

5 2 CFR Part 200.20, .33 and .58 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, Subpart A – Acronyms and Definitions – Information Technology Systems

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In accordance with the USDA Departmental Manual (DM) 3525, “USDA Internet Use and E-Mail Security”, the Recipient will not download any material (i.e., pictures, movies or music files) bearing a copyright nor access any material defined as inappropriate in these regulations and directives. Additionally, the Recipient agrees that any of its personnel that are given access to the APHIS network, any systems on the APHIS network, or any personnel using APHIS owned or funded computer equipment will take all APHIS required security and privacy training. APHIS security and privacy requirements can be found in the APHIS Information System Security Handbook (ISSP) (internal use only). APHIS follows all USDA processes which are based on the National Institute of Standards and Technology (NIST) Special Publications. Recipients should work with the VS’ Information Systems Security Manager (ISSM) to ensure compliance with the FISMA assessment and authorization (A&A) requirements for APHIS information and information systems. The Recipient must follow USDA. APHIS A&A guidelines and standards described in the USDA Six Step Risk Management Framework (RMF) process guide. All IT related system (application database, etc.) requirements will comply with the National Institute of Science and Technology (NIST) requirements for safeguarding information systems. Refer to NIST Special Publication 800-37, “Guide for Applying the Risk Management Framework to Federal Information Systems” and NIST Special Publication 800-53 revision 4, “Recommended Security and Privacy Controls for Federal Information Systems and Organizations”. In addition, if there is any custom software development to create new applications or make modifications or enhancements to the existing applications, secure code scanning practices must be followed in accordance with the USDA scan coding requirements to ensure that coding vulnerabilities are identified and remediated. A copy of the requirements can be obtained from the VS ISSM.

2.6 Research It is not the intent or purpose of this funding for any VS cooperative agreement to support research. “Research is defined as a systematic study directed toward fuller scientific knowledge or understanding of the subject studied”. (2CFR 200.87)6F

6

2.7 Travel

2.7.1 General Travel and its relation to the proposed activities must be specific and itemized by the number of travelers, reason for travel by name, if known (meeting, conferences, on-farm activity, etc.) and total estimated cost (airfare, mileage, etc.). Funds may be requested for field work, training, attendance at

6 2 CFR Part 200.87 – Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards – Subpart A – Acronyms and Definitions – Research and Development (R&D)

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intrastate/interstate meetings and conferences, and other travel associated with the proposed work including subsistence. For travel related to Training/Meetings, its relation to the proposed activities must be specific and itemized by the number of attendees, training/meeting title, and city and state, dates if known, and estimated cost. Provide the cost of transportation, lodging, subsistence and related items, number of days, the rate per day, and the total. Note: Recipients should follow their State written travel policies when calculating travel costs. If there is no State travel policy, Federal per diem rates should be used in the calculation of travel costs. Federal per diem rates can be found on gsa.gov. Reference 2 CFR 200.474. If the Recipient requests a shift in funds to the travel cost category, either in state or out of state, after the federal award has been made, the following should be asked:

1. Will the shift in funds change the scope of the agreement? If yes, prior approval from VS is required.

2. Will this require shifting funds from training to another direct cost category with the amount exceeding 10% of the total budget of the federal award? If yes, prior approval from VS is required. Reference Section 2.4.3 Revisions/Amendments for additional guidance.

2.7.2 Out-of-State Travel For budget purposes, Recipients requesting out-of-state travel are required to use the following guidelines, unless additional justification is provided to support an increase in attendees or to raise the budgetary travel cap and is approved in writing by APHIS Signatory Official.

1. USAHA and Regional AHA meetings will be limited to no more than two (2) attendees per state

agency or organization per meeting. Authorization to attend meetings, conferences, etc., will

be approved based on providing a tangible benefit to APHIS VS. The two (2) attendees per

state/organization combines the Umbrella and AHTS agreement requests for travel, if awarded

to the same agency.

Animal Health Association (Local, State or National) Conference, Meeting or Training attendance will be based on the state showing a benefit to APHIS for their attendance. If attendance is proven to be a benefit, no more than two (2) attendees per state or organization will be allowed to attend a selected conference. The two (2) attendees per state/organization combines the Umbrella and AHTS agreement requests for travel, if awarded to the same agency. This will include whether a participant or presenter.

2. Umbrella Agreements: A budgetary cap of $10,000 or seven (7) percent of the total project

costs, whichever is less is the established limit for out-of-state travel to attend meetings and

conferences.

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3. AHTS, Avian Health and Other Agreements: A budgetary cap of $5,000 or seven (7) percent of

the total project costs, whichever is less, is the established limit for out-of-state travel to attend

meetings and conferences.

NOTE: Travel to attend trainings and workshops is NOT subject to the travel cap. Registration for conferences and meetings is an Other expense, NOT travel. Please list the expenses accordingly in your Work and Financial Plan.

SECTION 3: WORK AND FINANCIAL PLAN DEVELOPMENT A work plan and financial plan will need to be approved by the APHIS Program Manager prior to submitting an Application for Federal Funding in eFG. The Program Manager will work with the Recipients to negotiate the content. NOTE: Umbrella work plans will continue to include a percentage of effort chart broken out by the amount of estimated time spent on the various activities, by commodity, approved in the work plan. This chart should be located on the first page of the work plan. The percentages should total 100%. A sample chart is below:

CATTLE %

EQUINE CERVID %

SWINE %

ZOONOTIC %

AVIAN %

0% 0% 0% 0% 0%

3.1 Work Plan The work plan reflects a cooperative relationship between the Recipient and USDA/APHIS/VS under the Cooperative Agreement. The work plan will outline mission-related performance goals, objectives and anticipated accomplishments as well as the approach for conducting the program objectives, provide details of the proposed activities and the roles and responsibilities of each party to the agreement. Delineating responsibilities is an important component in determining where and by whom the project activities will be accomplished. Performance goals are a target level of performance expressed as a tangible, measurable objective, against which actual achievement can be compared, including a goal expressed as a quantitative standard, value or rate. In some instances, this maybe be limited to the requirement to submit technical performance reports such as the Avian Health reporting. The following work plan format has been developed for use by VS and its Recipients in order to ensure:

Relevant planning information is provided to support and justify expenditures of Federal funds.

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Consistent information is provided from each Recipient to aid in managing and reporting the attainment of national goals.

In describing the performance goals, the activities, and the projected accomplishments, the work plan should provide enough detail to clarify how Federal financial assistance will enable the Recipient and VS to accomplish critical mission-related goals that are authorized by United States laws. The activities to be performed should be limited to the involvement of the Recipient and VS; hence Recipients are encouraged to work with APHIS-VS Program Managers to develop this plan and to determine the appropriate funding required. Involvement by other parties in the broad, more comprehensive program or project, which is incidental to the agreement, can be listed within the work plan. Refer to specific program guidance in this Guide, Section 4, for those items that will or will not be supported in each project. APHIS-VS Program Managers have established project criteria for each program that should be addressed in the work plan. Note: Some examples in the Work Plan template may not apply to your specific situation; you may delete sections that do not apply. Conversely, there may be items you want to add that you do not see specifically cited in the program requirements. Include them in your plan if you and/or the Program Managers believe that they will improve the effectiveness of the program for which the funds are being allocated.

Given that this is a cooperative agreement, the proposal should address activities conducted by both the Recipient and VS, as opposed to a grant proposal, which would only require the activities of the grantee to be included. Refer to Attachment A – Work Plan Template Refer to Attachment H – Work Plan Formulation Table

3.2 Financial Plan The financial plan is the expression of any financial resources required to carry out the project. The financial plan is developed to determine the total funding to be contributed by one or both parties to the agreement. In developing the financial plan, OMB cost principles must be used to determine whether a cost can be charged to the project and, if so, the extent to which it can be charged. The cost principles, selected items of direct costs, indirect costs, cost sharing or matching, and program income are all components of a financial plan. Recipients are required to report information as reflected in regulations:

2 CFR Part 25, Universal Identifier and System for Award Management (SAM)

2 CFR Part 170, Requirements for Reporting Sub award and Executive Compensation

Because of these requirements, you must ensure that your budget object class categories are properly broken out in the financial plan mirroring total amounts shown on SF-424A. Work Plan, Financial Plan,

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and the SF-424A must reflect contracts as a single obligation in the correct cost category titled Contractual. Clearly and thoroughly explain the objectives and the purpose of the plan. Each objective should be detailed describing how the work will be accomplished. Attachment B shows an example of a detailed financial plan and should be used to develop the summary budget for the entire work plan. Note: ADT now requires the completion of the ADT Cooperative Agreement Financial Plan Excel Template (Attachment B.1) in lieu of the standard Financial Plan template shown as Attachment B. The amounts for each cost category and for the total project cost on the detailed financial plan must agree with the SF-424A. Refer to Section 2.4.1 for Cost Types and Attachment B and B.1 for Detailed Financial Plan Templates.

3.3 Other Required Documents In addition to the Work Plan and Financial Plan, the Federal assistance application package submitted by the Recipient is to include the following documents, see Section 1.2 Forms for active links, several which will be entered directly into eFG:

1. Decision Memo (Internal APHIS) – The approval process for all cooperative agreements and grants is being continued for FY 2018. The Decision Memo (DM) must be completed by the Program Manager, reviewed by the District Director and submitted via the Associate Deputy Administrator to the Deputy Administrator’s Office for approval prior to the submission of a work plan and financial plan.

2. SF-424 Application for Federal Assistance – This information will be entered directly into eFG by the Recipient. Ensure Recipient’s address and DUNS number is consistent with the information listed in the System for Awards Management (SAM). Also please make sure the Recipient’s SAM registration is ACTIVE.

3. SF 424A, Budget Information – Non Construction Programs - This information will be entered directly into eFG by the Recipient. Section B (object class breakout) should be further supported by a detailed financial plan for each budget object class. Costs requiring special approval by the awarding agency or those that are excluded from the overhead assessment should be identified in the detail.

4. SF-424B – Assurances – Non-Construction Programs - This document will be printed offline and

attached in eFG when submitting an application. Signature is required at the bottom of the second page. This form certifies the applicant will comply with each of the assurances listed.

5. State’s Intergovernmental Review comments or a copy of the Single Point of Contact’s (SPOC)

letter to the Recipient stating the review has been waived or the project approved. SPOC response letter will need to be attached to the Application in eFG. Current SPOC contact list here: SPOC List

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6. SF-LLL - Disclosures of Lobbying Activities (for awards exceeding $100,000 only when there are activities to disclose). If applicable, this document will need to be attached in eFG when the application is submitted.

7. Certification Regarding Lobbying Form (for awards exceeding $100,000). If applicable, this

document will need to be attached in eFG when the application is submitted. Refer to Attachment C

8. Negotiated Indirect Cost Rate Agreement (NICRA), a signed agreement is required when the Recipient is assessing indirect costs to the project for which funding is awarded. The signed NICRA will need to be attached to the application in eFG to include the signature page.

Indirect cost rate proposal means the documentation prepared by a non-Federal entity to substantiate its request for the establishment of an indirect cost rate as described in Appendix III to Part 200—Indirect (F&A) Costs Identification and Assignment, and Rate Determination for Institutions of Higher Education (IHEs) through Appendix VII to Part 200—States and Local Government and Indian Tribe Indirect Cost Proposals of this part. 2 CFR Part 200.57 and 2 CFR Part 200.414 Recipients that have never had a NICRA and receive less than $35,000 in direct federal funding each year can apply for a de minimis rate of 10% of modified total direct costs pursuant to 2 CFR 200.414 (f). In addition to the procedures outlined in the appendices in paragraph (e) of Section 200.414, any non-Federal entity that has never received a negotiated indirect cost rate, except for those non- Federal entities described in Appendix VII to Part 200—States and Local Government and Indian Tribe Indirect Cost Proposals, paragraph (d)(1)(B) may elect to charge a de minimis rate of) 10% of modified total direct costs (MTDC), which may be used indefinitely. As described in § 200.403 Factors affecting allowability of costs, costs must be consistently charged as either indirect or direct costs, but may not be double charged or inconsistently charged as both. If chosen, this methodology once elected must be used consistently for all Federal awards until such time as a non-Federal entity chooses to negotiate for a rate, which the non-Federal entity may apply to do at any time. If a Recipient is interested in a de minimis rate please reach out to your SPRS Grant Specialist.

3.4 Animal Disease Traceability (ADT) Work Plan Specifics

Animal Disease Traceability (ADT) agreements, funded through Animal Health Technical Services (AHTS), will follow the guidelines set forth above as well as those identified in this section. In addition to the criteria defined in Section 2, State applicants must have a current and approved ADT Road Map. Applicants who received approval of their Road Maps in previous cooperative agreement periods must update their plans at a minimum of every three years or when necessary to accurately reflect their approaches and implementation solutions to advance animal disease traceability. For example, Road Maps dated January 2015 would be due for an update by January 2018. Applicants are to submit any updates to their Road Maps with the Cooperative Agreement Work Plan for review and approval by APHIS VS. (Note: Be sure to list the date of the update on the cover of the Road Map.) The State’s current Road

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Maps will continue to be posted on the Animal Disease Traceability website. The Recipient’s annual work plan must focus on activities the Recipient plans to implement during the funding period that supports their ADT Road Map.

3.4.1 Allowable Use of USDA ADT Funds USDA will fund expenditures that support the administration of traceability activities, including the following, unless noted in Section 3.4.2 as unallowable:

Personnel: Human resource support for advancing ADT, including entering available ADT data to make it electronically searchable. List the number of personnel responsible for data entry separately from other personnel resources as full time equivalent (FTE). Duties for data entry personnel include data entry and scanning of identification and diagnostic results from paper-based test and vaccination charts, and movement documents. Fringe Benefits: Benefits for human resources described above. List fringe benefits for data entry personnel separately from other personnel resources.

Travel: Travel and transportation costs related to ADT activities and in accordance with Section 2.7 Travel.

Equipment: Equipment used to manage location data, official animal identification distribution records, or animal movement records e.g. hardware including but not limited to hardware used to operate traceability software (e.g. servers), RFID handheld and stationary readers, ear tag applicators, PDA’s, tablets, desktop or laptop computers, printers, wireless air cards, and global positioning system devices. When more than one application is housed on the hardware, the use of ADT cooperative agreement funds is to be proportionate to the systems’ role related to ADT.

NOTE: Automated data capture hardware (RFID readers) used specifically for administering animal disease programs by employees under the direct supervision of the State, Tribal, or territorial animal health official or personnel who use the hardware at the direction of the State, Tribal, or territorial animal health official. The process for transferring data to the primary, or permanent, ADT databases (databases capable of returning location, suspect and exposed official animal identification numbers, event, and time information) must be defined in the request for purchase of such devices. The purchase of RFID readers must be itemized as equipment and the make and model of the readers must be listed.

Supplies: Supplies including but not limited to identification devices, office supplies, etc. For identification devices list the type of device (e.g. low frequency (HDX or FDX) - ultra-high frequency, microchips), species, the approximate number and cost of tags to be purchased. Contractual: Installation, maintenance and user fees (including licensing) for traceability application software that support the Recipient’s ADT Road Map and/or work plan objectives e.g., USAherds, TraceFirst (Statevet.com), Fort Supply, high-speed internet connections, etc. A detailed explanation reflecting how the software specifically supports the Recipient’s traceability plan is required. When the application software has multiple purposes (brand inspection, animal health programs, etc.) the use of ADT funds is to be proportionate with the application software’s role to each activity.

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USDA assumes that the Recipient has existing licenses for, and will not cover the cost of, operating systems and system software (e.g., Oracle and Microsoft SQL). USDA may authorize the use of ADT cooperative agreement funds for software enhancements to existing ADT systems when the criteria below are met. Funds utilized for ADT enhancements must be listed in the Contractual line item with the name of the system provided in the budget.

1. The system to be modified or enhanced with ADT cooperative agreement funds has been

operational in the State requesting the enhancement, in a production environment, for a

minimum of one year.

2. The Recipient does not have access to a USDA-supported information system that provides

similar functions. That is, the software that would be modified does not have the same

primary use or similar attributes and functionality of a USDA-supported system.

3. The Recipient provides a clear explanation of the proposed enhancement and how the

modification would improve tracing capabilities.

4. The Recipient provides a cost estimate of the enhancement and the amount of ADT funds

requested for the modification. If more than one State is supporting the modification, the

total of all funds are to be reported in the same request.

5. The software vendor must agree that all current and future users of the information system

will receive access to the enhancement at no additional cost.

6. The Recipient is to complete the form, “Use of ADT Cooperative Agreement Funds for

Enhancing a Software Application” to document the above information. (Program Manager

may also obtain the form on the ADT Information Center SharePoint site.)

Other: Shipping and postage, meeting registration and refreshments, rent, etc. Shipping for identification devices must be listed separately. Outreach and educational materials, including web sites that support the communication activities.

NOTE: At the request of applicants using NUES tags from the USDA Warehouse, USDA will ship NUES tags to the locations requested by the State or District office. The general guideline covers large volumes (approximately 10,000 tags or more) in one shipment and USDA commits to administering such shipments.

If the Recipient has established other NUES tag distribution centers (FSA offices, Extension offices etc.) and defined this activity in their work plan that will not administer “10K” volumes, the Recipient may request shipments of 1,000 tags or greater to these locations. Additionally, shipment of 1,000 tags to producers with large herds can be requested. Since the level of participation in this option is unknown, USDA cannot guarantee that they can cover the cost of these shipments throughout the cooperative agreement period.

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USDA Animal Disease Traceability Home Page

**NEW for the 2018 Cooperative Agreement Period: Recipients must use the ADT Cooperative Agreement Financial Plan Excel template (Attachment B.1) to document planned expenditures to support the Work Plan. Work Plans submitted without a completed ADT Cooperative Agreement Financial Plan Excel template will be returned to the Recipient.

3.4.2 Unallowable use of USDA ADT Funds

1. Developing new application software or an ADT system when an existing system provides similar

functionality/utilities.

2. Modifications to application software (ADT systems) unless the criteria in Section 3.4.1 above is

met.

3. Paying expenses related to interfacing internal systems not associated with the applicant’s

traceability information technology infrastructure or that had no relevance to traceability

information.

4. Conducting research, field trials, or pilot projects, unless reviewed and approved in advance by

the ADT program staff, to develop or test potential solutions for animal identification technologies

and animal movement data collection.

5. NOTE: Federal funds may no longer be utilized to purchase NUES tags directly from a

manufacturer.

3.4.3 APHIS Role in ADT Cooperative Agreements

1. The Program Manager for the agreement will complete the “ADT Cooperative Agreement Program Manager Checklist” (see Appendix B.1) to document the ADT cooperative agreement criteria have been appropriately addressed in the work plan by the Recipient. Work plans submitted to the Grant Specialists without a completed and signed checklist will not be considered for approval.

2. The appropriate Program Manager will review the Recipient’s ADT Road Map and work with the Recipient to ensure the ADT Road Map is current and properly posted on the traceability website. Additionally, the Program Manager will review and work with the Recipient to ensure the cooperative agreement work plan aligns with the objectives of the ADT Road Map.

3. The Program Manager will collaborate with State Recipients that had Trace Performance

Measure (TPM) values below the acceptable rating category for Elapsed Time and/or %

Successfully Completed in the 3rd year comparison (2016 cooperative agreement period) to

identify actions or activities they will implement to improve key tracing capability indicators.

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The State’s 2016 TPM rating report is to be used to determine which TPMs are applicable for

this work plan requirement.

4. The appropriate Program Manager will administer the cooperative agreements and advise the project administrator, track funding and project performance, receive and review progress reports, and offer suggestions.

5. The Program Manager will meet with Recipients as often as necessary to ensure progress in accomplishing the goals of the project, identifying obstacles, and resolving concerns, and will ensure the traceability performance measures (TPMs) exercises for the 2018 cooperative agreement period are successfully administered according to ADT Program guidelines and criteria.

6. APHIS will provide NUES tags through the VS Warehouse.

7. APHIS will also provide systems, training and support as needed for the administration of

premises identification and animal identification devices and associated events. Systems within

the Animal Disease Traceability Information System (ADTIS) include:

a) Premises Repository and Allocator and Data Management Center.

b) Standardized Premises Identification System.

c) Animal Identification Number Management System.

Additionally, electronic systems for creating Interstate Certificates of Veterinary Inspection and

entering paper-based certificates of veterinary inspection data are provided by APHIS.

8. APHIS will support the Recipient’s efforts to develop interfaces with ADTIS and other internal

information systems.

9. APHIS will provide information regarding ADT on its website and will support the outreach efforts

of States, Tribes, and territories to the extent possible.

10. APHIS (District Directors and staff from the District offices, ADT, Commodity Health Centers, and

Division of Information Technology) will develop outreach and training programs for USDA

accredited veterinarians, including processes for responsibilities associated with using official

identification ear tags, devices and automated data capture technologies.

SECTION 4: PROGRAM GOALS AND OBJECTIVES

4.1 Animal Health Commodity Goals Introduction: APHIS is committed to working with states to develop and implement a National Animal Health Surveillance System in the United States. One of APHIS’ primary tools in this effort is to award cooperative agreements to help build and maintain a surveillance system. The purpose of this tool is to

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assist States that apply for funding to draft more effective work plans for projects that will develop and support surveillance knowledge of the Animal Health Surveillance System. Goals/Objectives: The following objectives and activities are options for the Recipient to consider in developing a work plan including full time equivalent (FTE) positions and support costs necessary to support a national animal health surveillance network. For each activity/task, estimate costs including personnel, time, mileage, supplies, and other associated costs using the detailed financial plan to summarize all the commodity costs into one lump sum total.

4.1.1 General Surveillance Objective 1: Investigate potential FADs in compliance with VS Guidance 12001.1: Foreign Animal Disease Diagnostician Certification Requirements, VS Guidance 12001.3: Investigation of Potential FADs and EDIs, and the FAD PReP Manual 4-0, and enter information in Emergency Management Response System (EMRS). Objective 2: Investigate other significant animal health events including emerging diseases and enter information in EMRS. These may be emerging, re-emerging, zoonotic (see Section 4.1.1.1), and/or trans-boundary diseases. Objective 3: Collect and submit animal health information to the National Animal Health Reporting System (NAHRS) on a monthly basis to support national and international animal health reporting. Reporting for General Surveillance

EMRS is the system or record for FAD investigations, and any follow up on positive program disease case management as directed.

For emerging disease investigations provide counts of activities and investigations in suggested format (see Appendix B.7).

Complete monthly National Animal Health Reporting System (NAHRS) reporting through the NLRAD-NAHRS Web Reporting System. NAHRS reporting reflects a broad range of animal disease surveillance activities in the United States (FADs, endemic and zoonotic diseases).

Other routine surveillance is reported through use of LMS, VSLS and/or SCS (CoreOne) or State information management systems and must be available for national program reporting

4.1.1.1 Zoonotic Disease Surveillance and One Health (OH) Goal

Surveillance Objectives

Provide funding for information that allows APHIS to assess threats and effectively prepare for and respond to zoonotic diseases (not covered under regulatory programs) or other One Health (OH) events with an animal component.

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Enhance State surveillance activities for zoonotic diseases and other issues at the human-

animal-environment interface.

Enhance information sharing by applying methods that facilitate communication and zoonotic disease reporting with OH stakeholders. Potential methods include forming interagency OH zoonotic disease working groups and use of tools that facilitate One Health collaborations e.g., the One Health Systems Mapping Analysis Recourse Toolkit (OH-SMART) – see Education and Outreach Goals Section 4.1.3.2.1, Zoonotic Disease and One Health.

Expected Outcomes

Increased surveillance and reporting for State-specific zoonotic diseases and issues at the human-animal-environment interface.

Participation in epidemiologic investigations of State-specific zoonotic diseases and issues at the human-animal-environment interface.

Initiation of activities that address information sharing and confidentiality issues and improve zoonotic disease information collection and sharing among One Health partners to enhance collaborative Preparedness and Response activities. This includes cross-sector State level planning to monitor human illness during a zoonotic disease outbreak, or potentially zoonotic disease outbreak such as avian influenza.

Reporting for Zoonotic Surveillance and One Health

Complete monthly NAHRS reporting through NLRAD-NAHRS Web Reporting System. NAHRS reporting reflects a broad range of animal disease surveillance activities in the United States (FADs, endemic, and zoonotic diseases).

Provide narrative/tables describing the activities carried out to fulfill the Zoonotic Disease Surveillance Objectives

Report on methods used for information sharing, use of OH-SMART and any subsequent projects.

4.1.1.2 Avian Surveillance Goals

Parts 145.15 and 146.14 of 9 CFR Part 145 National Poultry Improvement Plan for Breeding Poultry requires the following in order for States to be eligible for indemnity and compensation for LPAI

(a) The Official State Agency must develop a diagnostic surveillance program for H5/H7 low pathogenic avian influenza for all poultry in the State. The exact provisions of the program are at the discretion of the States. The Service will use the standards in paragraph (b) of this section in assessing individual State plans for adequacy, including the specific provisions that the State developed. The standards should be used by States in developing those plans.

(b) Avian influenza must be a disease reportable to the responsible State authority (State veterinarian, etc.) by all licensed veterinarians. To accomplish this, all laboratories (private, State,

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and university laboratories) that perform diagnostic procedures on poultry must examine all submitted cases of unexplained respiratory disease, egg production drops, and mortality for avian influenza by both an approved serological test and an approved antigen detection test. Memoranda of understanding or other means must be used to establish testing and reporting criteria (including criteria that provide for reporting H5 and H7 low pathogenic avian influenza directly to the Service) and approved testing methods. In addition, States should conduct outreach to poultry producers, especially owners of smaller flocks, regarding the importance of prompt reporting of clinical symptoms consistent with avian influenza.

The goals of the Avian Health program are to: (1) quickly diagnose, control, and prevent the spread of all H5 and H7 Avian Influenza (H5/H7 AI) subtypes; (2) improve biosecurity, sanitation, and disease control in commercial poultry, live bird market system (LBMS) and high risk poultry sectors; (3) minimize the effects of H5/H7 AI on the U.S. LBMS and commercial poultry industry; and (4) support the surveillance and control of other avian diseases of economic and/or public health significance.

The Avian Health Program section should address avian influenza (AI) surveillance testing, record keeping, premises sanitation and biosecurity, disease surveillance, and response when AI-positives are found. H5/H7 AI surveillance, monitoring, and biosecurity education and enforcement in the higher risk categories of auctions, small sales, flea markets, swap meets, farmers markets, feed stores, botanicals, custom exempt poultry facilities, and backyard or hobby flocks should be specifically addressed in the work plan. Please refer to the National H5.H7 Avian Influenza Surveillance Plan for more information on the importance of high risk flock testing. In addition, support for NPIP related activities, such as lab audits, record keeping, review of 9-3 forms, etc. should be listed here:

Avian Surveillance Plan

Active Surveillance Objective

Conduct active surveillance sampling for avian influenza in commercial poultry, upland game birds, live bird marketing system sectors, and backyard/hobby flocks. For high risk flocks, testing for other diseases of significance may be included as well. Routine testing of non-commercial or backyard waterfowl is not recommended, except in the case of sick birds, retail live bird markets, or required movement testing.

Passive Surveillance Objective

Conduct passive surveillance sampling for avian influenza in commercial poultry, upland game birds, LBMS sectors and/or backyard/hobby flocks in response to sick bird calls and reported poultry mortalities. Necropsy and sampling for avian influenza should be performed on all reported cases of unexplained respiratory disease, egg production drop, and unexplained mortality in poultry. For high risk flocks, testing for other diseases of significance may be included as well. All States must include samples under the passive surveillance objective or provide a detailed explanation indicating how this requirement is being met outside of the Agreement.

Surveillance Sample Goals

Sample collected and to be tested for the agreement period. If surveillance has changed

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significantly from previous years, provide an explanation. Please utilize the chart included in Appendix B.8 to demonstrate your surveillance goals.

Recordkeeping, biosecurity enforcement and other Avian Health Objectives:

Describe other Avian Health activities and objectives which support the program goals (e.g. shipping, audits, inspections, data entry, etc.).

Reporting required for Surveillance Objectives

Recipient will report active and passive surveillance testing metrics quarterly on NPIP and LBMS spreadsheets provided which include the number of birds tested and number of tests performed by bird production type and test type as well as a narrative describing progress on other objectives. (See Appendix C). Data must be transmitted on the provided spreadsheet as an Excel file. NO Adobe or Word documents will be accepted. Please follow the instructions on the reporting template.

Complete monthly NAHRS reporting through the NLRAD-NAHRS Web Reporting System. NAHRS reporting reflects a broad range of animal disease surveillance activities in the United States (FADs, endemic, and zoonotic diseases).

4.1.1.3 Swine Health Surveillance Goals

Conduct active surveillance, eradication and disease prevention programs of swine including but not limited to activities included under comprehensive and integrated surveillance in swine. These activities currently include surveillance for CSF, swine Brucellosis, PRV and influenza A Virus in swine; other activities related to Swine Health Protection regulations for disease prevention also apply. Additional disease surveillance may be added as necessary to meet swine health goals. Swine FAD investigations can be conducted under General Surveillance funding guidelines (Section 4.1.1). Objectives

Conduct surveillance activities outlined in the Appendix A.2 and A.3. The guidance appendix will provide active surveillance sampling targets for each state as generated by the Science Technology and Analysis Services (STAS) and Surveillance, Preparedness and Response Services (SPRS). Appendix A.3 includes Classical Swine Fever (CSF)/Pseudorabies Virus (PRV) surveillance stream targets in a table format. Specifics on the CSF Surveillance Program including objectives, methods and reporting requirements can be found in the CSF Surveillance Manual. Only activities described in the Manual are allowed.

Perform high risk swine surveillance activities for PRV and Swine Brucellosis (SB). Appendix A.2 includes PRV and SB surveillance targets for all states in a table format. High risk samples are samples collected from any swine raised outdoors or with access to outdoors and are directed towards meeting the surveillance objective of early detection. Shipping costs to the KY Federal Brucellosis Lab along with PRV and SB testing costs are covered elsewhere and are not to be included in the funding request. States currently testing high risk swine for PRV and SB at their

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own expense and wish to continue may do so and at their own expense, with any non-negative samples continuing to NVSL for confirmation. Specifics on the PRV/SB Surveillance Programs including objectives, methods and reporting requirements can be found in the PRV Surveillance Manual and Swine Brucellosis Uniform Methods and Rules.

If States anticipate difficulty meeting their slaughter surveillance targets, umbrella cooperative agreement funds may be used for collection of high risk samples with District and national swine staff approval. States may not utilize Federal funds for PRV/SB collection or testing of feral swine.

The Swine Health Protection Act (SHPA) – 9 CFR, Part 166.5 provides the standards for licensed garbage-treatment facilities. On-farm inspections of the waste cooking and feeding process are used to carefully monitor garbage treatment and feeding facilities to ensure requirements are met. SHPA funds are to be used for inspections and investigations that involve enforcement of the Act. They are not to be used for routine checking of waste sources where there is no indication of any violation of the Act.

Guidelines for States that allow waste feeding:

o Apply license procedures to all facilities that feed waste to swine. o Inspect all licensed waste feeding facilities every 90 days. o Investigate and resolve all reports of illegal waste feeding in swine.

Guidelines for States where swine waste feeding is banned: Investigate and resolve all reports of illegal waste feeding in swine.

States may not utilize swine health funds for the purchase of laboratory equipment.

Reporting

Data collected for the various surveillance activities will need to be entered into the appropriate data repository as specified by State-Federal cooperative agreement. This includes using SCS (Core One) or equivalent system for routing surveillance, EMRS for capturing close out activities on positive PRV and SB cases and EMRS for traces out of positive herds or FAD responses.

Complete monthly National Animal Health Reporting System (NAHRS) reporting through the NLRAD-NAHRS Web Reporting System. NAHRS reporting reflects a broad range of animal disease surveillance activities in the United States (FADs, endemic, and zoonotic diseases).

Monthly SHP summary data is supplied to VS for entry into the SHP SharePoint site. Follow-up laboratory tests that are positive for program disease: Information to be submitted to VS should be entered into SharePoint or EMRS per instructions from commodity staff.

Measurable Outcomes for States that allow waste feeding o Number of licenses issued or re-issued. o Number of inspections of waste feeding facilities. o Number of temperature checks of waste cooking equipment. o Number and type of high risk searches undertaken. o Number of investigations undertaken and resolution of all cases.

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Measurable Outcomes for States that prohibit waste feeding o Number and type of high risk searches undertaken. o Number of investigations undertaken and resolution of all cases.

4.1.1.4 Cattle Health Surveillance Goals

Conduct surveillance in domestic cattle and bison and targeted high-risk wildlife populations as described in program regulations, program standards, and surveillance plans to maintain national, state and herd disease status certifications. Program-Specific Objectives and Expected Outcomes

4.1.1.4.1 Brucellosis

Implement slaughter surveillance sufficient to detect a 0.001 percent (1 or more infected animals per 100,000 adult cattle) or higher prevalence level among the U.S. domestic cattle and bison population with 95 percent confidence. States that have been Class Free for 5 consecutive years or longer and that do not have B. abortus in wildlife must agree to participate in the market cattle identification (MCI) testing as part of the national brucellosis surveillance plan. States that have not been Class Free for 5 consecutive years or longer or that have B. abortus in wildlife must carry out brucellosis ring testing (BRT) and MCI testing, as per 9 CFR Part 78.

Monitor and assist with surveillance activities in those States required to implement Brucellosis Management Plans (BMPs).

Each state in the Greater Yellowstone Area, Idaho, Montana and Wyoming will have two (2) wildlife and two (2) livestock officials meet with APHIS representatives to plan how to decrease brucellosis prevalence in wild elk. Each state will commit to two (2) meetings during FY18 for this purpose.

4.1.1.4.2 Bovine Spongiform Encephalopathy (BSE) Surveillance

Implement a national surveillance system sufficient to detect 1 case of BSE per 1,000,000 adult cattle (which will exceed OIE recommendations for Type A BSE Surveillance).

Test 25,000 samples collected from adult cattle for BSE in accordance with the BSE Ongoing Surveillance Plan. Collections should emphasize cattle originating from clinical suspects and casualty slaughter surveillance streams.

4.1.1.4.3 Cattle Fever Tick

Visually inspect and scratch all livestock on an annual basis in the permanent quarantine zone in Texas.

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Conduct targeted surveillance in areas where tick-infested livestock and ungulates have been discovered outside the permanent quarantine zone in Texas.

4.1.1.4.4 Tuberculosis

Implement a combination of slaughter surveillance and live animal testing at a sampling rate sufficient to detect 0.05% prevalence at 95% confidence. (For states or zones with more than 60,000 adult cattle or bison, this standard requires that at least 6,000 adult cattle and bison be inspected at slaughter or tested each year.)

Monitor granuloma submissions of Federal and State-inspected slaughter establishments in the State to validate slaughter inspection and ensure compliance with existing performance standards (i.e., 1 submission per 2,000 adult cattle slaughtered).

Implement a system to monitor the response rate reported by each accredited and regulatory veterinarian conducting official tuberculin tests. A response rate of less than one responder for each progressive specified range of CFT tests conducted as outlined in Bovine Tuberculosis Eradication Uniform Methods and Rules, January 1, 2005, Appendix C, after 300 animals have been tested, must be addressed and appropriate action taken and documented.

Conduct targeted surveillance in geographic areas where TB has been identified in livestock or wildlife.

Quarterly Reporting Requirements Describe any surveillance that was conducted during the reporting period. (NOTE: DO NOT include testing conducted as part of epidemiology investigations or response activities – include this testing with the reports for preparedness and response activities.) Please use the suggested tables in Appendix B.3-B.7 to tabulate Performances. Describe the unit cost-per-sample collected for each BSE surveillance sample collected. Describe how this value was calculated (i.e., transportation costs, storage, mailing of samples, disposal, data entry, etc.). Please use the narrative of your Performance report to document these costs. Monthly Reporting Requirements Complete monthly NAHRS reporting through the NLRAD-NAHRS Web Reporting System. NAHRS reporting reflects a broad range of animal disease surveillance activities in the United States (FADs, endemic, and zoonotic diseases).

Annual Reporting Requirements

For national reporting of brucellosis and tuberculosis activities at the USAHA annual conference, describe the activities listed in Appendix A.4.2 conducted during the reporting period. (NOTE: DO NOT include

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testing conducted as part of epidemiology investigations or response activities – include this testing with the reports for preparedness and response activities.)

4.1.1.5 Sheep and Goat Surveillance Goals

The overall goal of these objectives is to increase the effectiveness and efficiency of Scrapie surveillance. Scrapie surveillance is to be conducted in compliance with Animal ID and sampling for Scrapie surveillance per VS Memo 557.11 v5. This memo and the National Scrapie Surveillance Plan will be updated in 2018 and the DSE for your State will be notified when this occurs. Please check with your State’s DSE or the Sheep and Goat Health Specialists for Epidemiology (SGHSE), Dr. Charles Gaiser and Dr. Dianne Norden, for updated versions. All samples collected for Scrapie or Scrapie susceptibility genotype testing must be submitted using the Veterinary Services Laboratory Submission (VSLS) System to NVSL or an APHIS contract laboratory within 1 week of collection. All payments for testing will be made through existing contracts with these laboratories; therefore, no payments for these tests will be made via cooperative agreements. All investigations of Scrapie suspects must be recorded in the Scrapie National Database. National Scrapie Eradication Program NOTE: No official sheep and goat tags can be purchased using cooperative agreement funds. Objectives

Investigate and sample Scrapie suspect sheep and goats.

Collect all targeted animals at Regulatory Scrapie Slaughter Surveillance (RSSS) sites.

Maintain current and add new RSSS collection sites.

Increase surveillance of black-face sheep, Southdowns, Montadales, mature sheep and goats found dead, under sampled flocks, and other higher risk sheep and goat populations. For example, State employees could collect necropsy or live animal samples from these populations on-farm or at other sites. Note that live animal testing must be approved by the SGHSE prior to contacting producers.

Conduct surveillance to meet or exceed the state-of-origin based surveillance annual sampling minimums for sheep and goats (Refer to Appendix A.1). States that did not exceed their minimums for FY 2017 are encouraged to include activities addressing this element. Activities that could be included in the work plan are provided in VS Memo 557.11 v5 . Other innovative surveillance methods may be discussed with and approved by the SGHSE. Examples of approved activities include paying personnel at slaughter plants to:

o Remove and ship whole heads to a VS collection facility. o Remove, chill, and store the whole head; VS or State employee collects tissues samples,

either on-site or off-site, and submits samples for testing. o Remove the heads and a VS or State employee collects samples on-site, ships tissues,

and enters the submission information into the Veterinary Services Laboratory Submission (VSLS) system.

o Collect and submit diagnostic tissues (obex and/or lymph node) to an assigned laboratory and enters the submission into VSLS.

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Expected Outcomes

Investigate and sample all Scrapie suspect sheep and goats.

Collect all targeted animals at Regulatory Scrapie Slaughter Surveillance (RSSS) sites.

Maintain current and add new RSSS collection sites.

Increase surveillance of black-face sheep, Southdowns, Montadales, mature sheep and goats found dead, and other higher risk sheep and goat populations.

Meet or exceed state-of-origin based surveillance sampling minimums for sheep and goats (see Appendix A.1).

Reporting Reports are to be submitted to the AD for the state involved on a quarterly basis and reviewed quarterly by the Commodity Team. Sample charts are provided in Appendix B that may be used for this purpose. Note: Since the total number of animals sampled and entered is recorded in VSLS we are only asking for the State contribution to be reported as part of the cooperative agreement quarterly report.

RSSS activity reports are to include information provided in Appendix B.5 for the reporting period as performed by state employees or through state managed contracts/agreements.

Non-RSSS surveillance activities for the reporting period performed by state employees or through state managed contracts/agreements must include the information listed in Appendix B.6. Add rows for any item not included in the template.

Complete monthly NAHRS reporting through the NLRAD-NAHRS Web Reporting System. NAHRS reporting reflects a broad range of animal disease surveillance activities in the United States (FADs, endemic, and zoonotic diseases).

4.1.2 Avian Diagnostic Testing

Conduct diagnostic testing for avian influenza and other significant avian diseases on the targeted surveillance samples collected in accordance with the Surveillance Objective previously described. The following recommended diagnostic tests for AI active surveillance can be supported through cooperative agreement funding.

Table 4: Recommended Diagnostic Tests for AI Active Surveillance

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Poultry Production Type Recommended Diagnostic Tests for H5/H7 AI

Commercial Poultry

Breeders: Broiler, Turkey, Layer

ELISA/AGID for monitoring and/or PCR/ACIA prior to movement

Production: Turkeys, Layers

ELISA/AGID for monitoring and/or PCR/ACIA prior to movement

Production: Broilers ELISA/AGID/PCR/ACIA

NPIP Subpart E Upland Game Birds

PCR/ACIA gallinaceous birds; PCR/VI waterfowl; ELISA/AGID on eggs for breeders

Backyard flocks PCR/ACIA gallinaceous birds; PCR/VI waterfowl

LBMS

Markets PCR/ACIA gallinaceous birds; PCR/VI waterfowl; VI environmental (cages only)

Distribution Units* PCR/ACIA gallinaceous birds; PCR/VI waterfowl

Production Units ELISA/AGID for monitoring or PCR/ACIA prior to movement

Auctions/Small Sales PCR/ACIA gallinaceous birds; PCR/VI waterfowl; VI environmental (cages only)

*Distribution units are intended to include premises that hold birds for a minimum of 72 hours: wholesalers, dealers, feed stores

PCR/ACIA and/or VI can be used on any of the production types in the table if submitted for passive surveillance on sick or dead birds

ACIA testing should be used only on sick or dead birds for passive surveillance in the field; Laboratories will not be reimbursed for ACIA testing. Test kits can be included under supplies but ACIA testing should not be reported in a cost-per-test format.

Use virus isolation for exotic birds or species for which PCR has not been validated

Reporting: Recipient will report total diagnostic testing costs paid to the laboratory during the quarter in the narrative of the quarterly report that accompanies the surveillance reporting spreadsheets in the Surveillance Objective. Cost Per Test and Laboratory Information:

Recipient should identify which approved laboratories will be conducting AI and other disease testing, the total cost-per-test for each test type, and all costs included in the calculation of the cost-per-test quoted. The work plan MUST specify which test(s), if any are included in the diagnostic necropsy charge. Costs should be calculated from the time the sample enters the laboratory to the reporting of results back to the submitter. This may be inclusive of: personnel, diagnostic kits, reagents, consumable laboratory supplies, equipment depreciation/lifecycle replacement, equipment maintenance and proficiency testing.

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The number and type of tests requested here should match those listed in the Avian Surveillance Goal 1. Refer to Section 4.1.1.2 Table 5: Avian Health Surveillance Goals

Test Type Number of Tests Cost per test Amount

AGID

ELISA

EGG (AGID or ELISA)

PCR

ACIA

VI

Diagnostic Necropsy

Total Diagnostic Testing Cost for the Agreement:

Costs not directly associated with sample testing should be listed separately under the laboratory objective, with ample justification as to how these items support the program goals and objectives and why they would not be included in the cost per test calculation. Justifications for support of these costs will be evaluated on a case-by-case basis. If laboratory equipment is being requested, the attached Equipment Request form (Appendix B-9) must be included with the work plan. Do not include any costs which are covered by other laboratory funding sources such as NAHLN or NIFA funding. Funding may also be utilized for NPIP sponsored training for laboratory technicians.

4.1.3 Education and Outreach Goals

4.1.3.1 General Education Objectives

Identify areas where increased awareness is needed and provide/develop educational training activities, tools, and materials to fill the gaps.

4.1.3.2 General Outreach Objectives

Engage stakeholders to build trust and productive working relationships

Enhance Tribal consultation and networking activities.

Implement an overarching strategy for communication and information sharing with stakeholders/partners.

Whenever possible existing outreach materials should be used. All outreach materials must be submitted through the Program Manager to the Legislative Public Affairs (LPA) office for approval and possible use of the USDA logo and to make a determination as to whether APHIS’ participation in the project will be acknowledged. Please allow a minimum 2 weeks for review of materials (calendars, pamphlets, flyers, posters, etc.) prior to printing.

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4.1.3.2.1 Zoonotic Disease and One Health

If possible send State One Health partners/attendees to USDA One Health collaboration methods training courses to learn about practical tools such as OH-SMART for facilitation, engagement, communication and problem-solving.

Develop and/or provide educational opportunities and/or materials that enhance understanding of zoonotic diseases and other issues at the animal-human-environment interface and outline roles and responsibilities of all stakeholders and partners.

Develop One Health partnerships within the State using tools such as OH-SMART available through the One Health Coordination Center to identify needs and gaps, and develop communication and response plans for events at the animal-human-environment interfaces.

Report Education and Outreach Activities, including use of OH-SMART and outcomes, using suggested format (see Appendix B.3 and directions in Reporting Section 4.1.3.3 below).

4.1.3.2.2 Avian Health

Provide education on biosecurity and disease prevention, especially to high risk flocks. The

Biosecurity for the Birds and Defend the Flock campaigns each have resources available for use

by States. Any additional materials developed with agreement funds (posters, calendars,

pamphlets, etc.) require prior approval. Send any documents needing Legislative Public Affair

(LPA) review to your Grant Specialist. Please allow at least 2 weeks for the approval process.

Assist producers in preparing for Biosecurity audits as required under the NPIP Biosecurity

Principles Program Standard.

4.1.3.2.3 Swine Health

Provide presentations and distribute outreach materials for purposes of feral swine risk

mitigation, FAD surveillance, emerging swine disease issues, and other swine State-Industry

needs.

4.1.3.2.4 Cattle Health

4.1.3.2.4.1 Brucellosis

Provide education to State, Tribal, and Federal Veterinary Medical Officers (VMOs), Animal Health Technicians (AHTs), Animal Import Centers (AICs), and other appropriate animal health officials to assure full understanding of the national bovine brucellosis slaughter surveillance plan and associated program activities, including conducting quality epidemiologic investigations.

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Provide outreach to slaughter establishments participating in the national bovine brucellosis slaughter surveillance plan to ensure proper sample and ID collection, sample packaging and shipping, and compliance with existing performance standards (at least 95% of all samples are of suitable quality for testing upon arrival at the testing laboratory and are packaged and shipped according to protocol and can be accurately associated with the corresponding animal identification collected with the sample).

4.1.3.2.4.2 BSE Surveillance

Conduct outreach and education with accredited veterinarians and producers to encourage sample submissions in support of national surveillance goals and sample collection targets.

Conduct outreach and education with public health officials and public health laboratory directors about forwarding rabies negative submissions from cattle to the NVSL for BSE surveillance.

4.1.3.2.4.3 Cattle Fever Tick

Provide outreach and educational materials to landowners, hunter groups, and federal, state, and local agencies on the management of the white-tailed deer population within the permanent tick quarantine zone in Zapata County, Texas, through a cooperative agreement with the Caesar Kleberg Wildlife Research Institute, Texas A&M University – Kingsville.

4.1.3.2.4.4 Tuberculosis

Provide education to slaughter establishments in the State to ensure compliance with existing performance standards (i.e., 1 submission per 2,000 adult cattle slaughtered) and awareness of the TB slaughter surveillance awards as described in VS Guidance Document 6704.1, Slaughter Surveillance Awards for the Bovine Tuberculosis Program, dated 08/25/14.

Conduct outreach, training, and education with accredited veterinarians to ensure compliance with existing performance standards (Appendix C of Bovine Tuberculosis Eradication Uniform Methods and Rules, January 1, 2005

Provide training to Federal and State VMO’s to become approved to conduct the comparative cervical tuberculin (CCT) test.

4.1.3.2.5 Equine, Cervid, Small Ruminant Health

Use education and outreach to increase:

ID and recordkeeping compliance for sheep and goats.

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Reporting and submission of commodity species showing clinical signs of commodity specified diseases (e.g., Scrapie, Chronic Wasting Disease (CWD)) and potential foreign or high impact emerging diseases.

Submission of found dead mature sheep and goats for Scrapie testing

Producer awareness of how to use genotyping and other strategies to prevent Scrapie introduction.

In order to maintain proficiency, attendance of State Designated Scrapie Epidemiologists (DSEs) at one of the APHIS provided Sheep and Goat Health District Training courses conducted in the DSE’s district is encouraged. New DSEs may attend out-of-district commodity training with approval of the SGHSE. Attendance by other State employees working with Sheep and Goat Health programs may be included when the training is within driving distance.

4.1.3.3 Education and Outreach Performance

Describe in narrative or table form the education and outreach activities conducted and meetings attended during the reporting period that were supported by cooperative agreement dollars. Information to include in report:

Audience, including type(s) and numbers of stakeholders reached; content of the educational materials; the method(s) used for outreach/education; and the outcomes. If there was a tangible product such as a brochure, newsletter, PowerPoint presentation, etc. provide a copy. If done at a meeting, also include the name of the meeting, organization holding the meeting and where the meeting was held.

For meetings or training attended for purposes other than giving a presentation; list the name, organization providing the training or meeting, purpose of attending, who attended by name and job, where held, and outcome. If available, attach a copy of the agenda.

4.1.4 Preparedness and Response Goals

Detect and contain high consequence animal diseases including program and zoonotic diseases as quickly as possible.

Control or eradicate high consequence animal diseases including program and zoonotic diseases using strategies that stabilize animal agriculture, the food supply, the economy, and protect public health.

Provide science- and risk-based approaches and systems to facilitate continuity of business for non-infected animals and non-contaminated animal products in regulatory control areas.

4.1.4.1 Preparedness and Response Objectives

No official Sheep and Goat RFID or any other tags can be purchased with cooperative agreement funds.

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Prepare, maintain, and exercise State-level plans, standard operating procedures, response templates, and guidance documents for responding to endemic, foreign, zoonotic and emerging disease or re-emerging disease events impacting animal agriculture. Ensure that these plans are consistent with National plans developed by Veterinary Services.

For Avian Health, Initial State Response and Containment Plans (ISRCPs) are recommended to be reviewed and updated annually, exercised at a minimum once every 3 years and formally submitted and approved by APHIS every 5 years.

Conduct epidemiologic investigations in accordance with animal health program regulations and program standards. Including epidemiologic investigations for regulatory diseases such as brucellosis, pseudorabies, tuberculosis or non-regulatory emerging diseases as requested by Veterinary Services.

Conduct disease response activities such as cleanup, traceback investigations, post exposure monitoring, testing, and disposal of high risk animals/herds/flocks, as appropriate.

Investigate, control and eliminate (when appropriate) emerging, re-emerging, endemic, zoonotic and foreign diseases that impact animal agriculture.

o Each state in the Greater Yellowstone Area (Idaho, Montana and Wyoming) will have two (2) wildlife and two (2) livestock officials meet with APHIS representatives to plan (near and long term plans) how to reduce brucellosis prevalence in wild elk and bison to zero. Achievement milestones will be established to document progress towards achievement of the goal. Each state will commit to two (2) meetings during FY18 for this purpose.

Implement risk-based management plans to mitigate risks associated with emerging, re-emerging, endemic, zoonotic and foreign diseases that impact animal agriculture.

Increase the number of flocks listed in the Scrapie National Database and the percentage that use official ID. Monitor for and enforce ID and recordkeeping compliance at concentration points. ID compliance activities are to be reported using the ID compliance spreadsheet that is part of the monthly Epidemiology and ID Compliance Report workbook, an Excel copy may be requested from the Program Manager.

Secure Pork Supply planning and implementation activities, exercises and multistate planning efforts. Funding for this requires a multistate commitment of collaboration.

4.1.4.2 Reporting and Expected Outcomes

Provide narrative describing planning activities. The narrative should include a description of each plan developed or if not completed the progress made. A copy must be provided of any final products produced as a result of the work.

Provide narrative describing exercises. The narrative should include a description of each exercise conducted or if not completed, the progress made. A copy of the exercise materials must be provided along with an After Action Report that includes what organization participated, a summary of the exercise including the parameters, methods, and outcomes such as any changes made as a result.

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For investigations and other disease response activities, provide the disease of interest and the activity performed. This may be done utilizing a spreadsheet or chart listing the activities as rows and the disease for which the activity was conducted in columns and filling in the number performed (see Appendix B.7 for sample chart).

For sheep/goat ID compliance activity, provide the State inspection data needed to complete the ID compliance section of the monthly Epidemiology and ID Compliance Report (see Appendix B.6 for report template).

For H5/H7 AI response supplies, please provide a complete justification and itemization of the

supplies requested. For H5/H7 AI response equipment over $5,000 in unit price, the attached

Equipment Request form (Appendix B.9) must be included with the work plan. This form was

originally designed for laboratory equipment, but is being requested for response equipment as

well. Please include on the form a detailed justification describing the need, use, maintenance

and storage of the proposed equipment purchase.

If Personal Protective Equipment (PPE) is an included cost in your Financial Plan, VS limits the

amount of purchases to 72 hours or 3 days of supply. This limit is based on the average amount

of time it takes to establish an incident command and receive deliveries from the National

Veterinary Stockpile.

4.2 Animal Disease Traceability Goals

ADT, a performance based program, is designed to measure outcomes that will document successful advancement of animal disease traceability. Traceability performance measures (TPMs) have been established to measure and document progress. ADT Recipients, in cooperation with the Program Manager, will annually administer TPMs that reflect tracing capabilities based on the defined tracing activities. Compilation of the results across all Recipients will enable APHIS to determine current traceability values for the TPMs to document progress made from the national baseline values and subsequent “comparison years” that were established in prior cooperative agreement periods. Guidelines provided for the administration and completion of traces (trace exercises or actual traces) must be followed and quotas must be achieved to maintain eligibility for reimbursements of expenditures. The proper administration of official identification devices and documents used to help determine interstate movements, in particular Interstate Certificates of Veterinary Inspection (ICVIs), is key for capturing accurate information needed to achieve successful animal disease traceability. Recipients must include activities to support official identification and record keeping pertaining to the distribution of official ear tags in their quarterly and final accomplishment reports. ADT places a priority on activities that will make electronic information more readily available, therefore technology such as radio frequency identification and electronic interstate movement documentation must be given high priority and well accounted for in the Recipients work plan.

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High compliance with traceability regulations is also critical to achieve optimum tra cing capabilities. While APHIS is the lead on the regulations defined in 9 CFR Part 86, Recipients are encouraged to work cooperatively, to the degree possible, on activities that will support compliance with the regulations. Cooperative efforts of State and Federal resources are highly preferred, in particular when the State has regulations that align with the federal regulations. Sharing information quickly and effectively will help APHIS and its Recipients respond to animal disease events and make ADT successful. Information systems must be compatible. Therefore, all Recipients must administer defined data elements in accordance with data standards. Options to share data seamlessly, including the integration of system, should be given high priority. Expenditures to support IT should align with this objective .

4.2.1 ADT Goals and Objectives

The applicant’s ADT Road Map provides their vision, long-term plans, and objectives for implementing the ADT program. Several key activities were identified in the Road Map that each applicant was to address. Applicants must include specific activities they will undertake in their annual cooperative agreement work plan to support all of the following activities:

1. Traceability performance measures (TPMs): a. Provide an overview of how the Recipient will administer traces to complete the assigned

number of TPMs in the Emergency Management Response System 2 (EMRS2).

b. States that had TPM values below the acceptable rating category for Elapsed Time and/or %

Successfully Completed in the 3rd year comparison (2016 cooperative agreement period)

shall identify actions or activities they will implement to improve key tracing capability

indicators. The State’s 2016 TPM rating report is to be used to determine which TPMs are

applicable for this work plan requirement. The Recipient should contact the Program

Manager for their report if it was not previously received.

2. Administration of Official Identification Devices

a. Explain how official identification devices will be made available to producers and

options for increasing the use of official RFID tags. Explain how the RFID tags will be read electronically after the initial application of the tag to ensure the technology is well utilized.

b. Explain how the Recipient is maintaining records of official identification devices

distributed and/or applied to ensure timely retrieval of such records when needed,

including devices administered through accredited veterinarians, markets, tagging sites,

etc.

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3. Information sharing: Explain what information systems are being used to support traceability and how information will be shared with other Recipients when needed. Integration of systems and/or communication processes to support efficient data sharing options shall be documented. Recipients who have developed or obtained their own information systems should explain how their systems are aligned with established data and communication interfaces to ensure compatibility of information systems.

4. Outreach: Implementation of an outreach plan for the Recipient’s approach to support animal disease traceability. See Appendix B.2 for the reporting of ADT outreach activities.

5. Electronic Records: In addition to the key elements noted in the Traceability Road Maps,

activities to increase the volume of electronic records that optimize the search ability of potential animal disease traceability data shall be described. Priority areas to consider include distribution/tag applied records of official identification devices, ICVIs, and other sources deemed applicable for the Recipient (e.g., data from bovine brucellosis vaccination and testing, bovine tuberculosis testing, brand inspection certificates, etc.). Priority should be placed on moving Accredited Veterinarian to electronic ICVI systems.

6. Compliance and Enforcement of traceability regulations: The Recipient, in collaboration with the

Program Manager, is to document processes to examine and report compliance of ICVI requirements defined in 9 CFR Part 86. Additionally, the Program Manager and Recipient are encouraged to work cooperatively on ADT enforcement activities, in particular when the State has regulations that align with the Federal regulations. To avoid duplication of reporting, the State should provide their Program Manager with counts of enforcement activities to augment the VS quarterly ADT Enforcement Action Summary Report.

SECTION 5: REPORTING

Federal regulation requires Recipeints to submit performance and financial reports in accordance with

the frequency required by the Federal awarding agency. The VS SPRS grant and cooperative agreements

typically require quarterly reporting. Below is the work flow for performance and financial reporting in

eFG. The reports should be submitted directly into eFG via the external portal.

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5.1 Financial Reporting The applicant must maintain complete, accurate, and current records which disclose the Federal and non-Federal funds of each APHIS- sponsored project or program. The Financial Report and the payment (claim) request will be submitted directly into eFG.

1. Financial reporting must be made in accordance with the frequency outlined in the Opportunity and the Award Face.

2. The Federal Financial Report, SF-425; is used to report the status of funds for all non-construction financial assistance awards. A SF-425 is required quarterly. This form is submitted using the activity generated the last day of the reporting period in eFG.

3. Financial reports are due thirty (30) days after the end of the calendar quarter and must be

cumulative.

4. Final financial reports are due no later than ninety (90) days following the expiration or termination of the award.

5.2 Performance Reporting Recipients are required to report progress in relation to projected work schedules and stated objectives. The required frequency of the performance report shall be stated in the Opportunity and the Award Face Sheet. The Recipient will use eFG to submit their performance reporting. eFG allows a narrative portion to be added as well as attachments.

NOTE: The recommended practice when submitting a Performance Report in eFG is not to use the performance narrative section of the generated form. Instead list “See Attached” in Block 10 and upload your narrative report to the Attachments tab.

Performance Reports should be submitted in the form requested by the Program. For example, Avian requires the EXCEL spreadsheet to be returned along with the narrative report. Performance reports are submitted using the activity generated the last day of the reporting period in eFG.

5.2.1 Quarterly Performance Reporting Recipient reports are due no later than thirty (30) days following the end of the stated reporting period. Reports should include a narrative section addressing each objective approved in the work plan and any required surveillance reporting templates.

5.2.2 Final Performance Reporting The final performance report is due no later than ninety (90) days following the expiration or termination of the award. The final performance report will identify the cumulative achievements for each objective.

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5.3 Extension for Reporting Any requests for an extension of time to submit the reports must be justified and made in writing to APHIS’ authorized representative (Program Manager) before expiration of the initial 30 or 90 day period allowed for submitting the report. Extensions of time to submit the reports are subject to the discretion of the Program Manager and, if allowed, shall be provided in writing. Keep in mind that eFG will not pay claims until all required reporting has been submitted.

5.4 Overdue Reports In accordance with 2 CFR Subpart D, APHIS may withhold payments from recipients for non-compliance with award conditions or Federal reporting requirements. In addition, APHIS may defer the processing of new awards, amendments, or supplemental funding pending receipt of the overdue report(s). eFG will not pay claims until reporting is up-to-date.

5.5 Prior Year Reports No applications for FY 2018 funds will be considered for award if there are any outstanding, delinquent performance or financial reports from previous fiscal year agreements. For Avian Health funding, this includes submissions of annual VS 9-4 Reports to NPIP office. For Sheep and Goat Health funding, this includes providing the necessary reports for completion of the annual Scrapie epidemiology and ID compliance report.

5.6 Report Templates

Appendix A.1: National Scrapie Eradication Program, Sheep and Goat Sampling Minimums

Appendix A.1.1: Concentration Point Sheep/Goat Compliance Report

Appendix A.2: Swine Health Active Surveillance Sampling Targets Table

Appendix A.3: CSF and PRV/SB Active Surveillance Field Sampling Guidance

Appendix A.4: Cattle Health Surveillance Activities

Appendix A.4.1: Epidemiological Investigations and Disease Response Activities

Appendix A.4.2: Cattle Health Brucellosis and Tuberculosis Activities

Appendix A.5: Investigations and Disease Response Activities for Programs other than Cattle Health

Appendix B.1: ADT Cooperative Agreement Program Manager Checklist FY 2018

Appendix B.2: ADT-Outreach

Appendix B.3: Description of Outreach or Education Activity

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Appendix B.4: Program Specific Outreach and Education Activity

Appendix B.5: RSSS Activities for the Reporting Period

Appendix B.6: Non-RSSS Surveillance Activities for the Reporting Period

Appendix B.7: Investigations and Activities for FAD, Zoonotic/One Health and Non-Program Diseases

Appendix B.8: Avian Health Surveillance Goals

Appendix B.9: Avian Equipment Request Form

Appendix C: Avian Influenza Data Requirements

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SECTION 6: CLOSE OUT Towards the end of the Agreement, the recipient will receive an email reminder from eFG that the award expires in 90 days and again at 30 days. The recipient should liquidate all obligations for approved work no later than ninety (90) days after the funding period or completion as specified in the Award Face Sheet – unless an extension is granted. Within ninety (90) days after the expiration or termination date of the award, the recipient must submit the following reports in eFG:

Final Performance Report and all other products specified in the Terms and Conditions of the

Award or Approved Work Plan

Final Claim, Request for Payment – SF-270

Final Federal Financial Report – SF-425

Upon receipt of all final reports and claims, VS will proceed with closing out the agreement. If there is a remaining balance shown on the final SF-425 of more than $1,000, the SPRS Grant Specialist will send the Recipient a letter showing the unobligated balance and the date the award will be officially closed with the balance deobligated. This is in accordance with the APHIS deobligation policy. After an award is closed out, the APHIS Review and Analysis Branch (RAB) randomly selects various awards for an internal audit. Attachment G, Financial Review Questionnaire for APHIS Cooperative Agreement Desk Reviews, is an example of the type of questions that RAB will be inquiring about.

SECTION 7: RECORDS MANAGEMENT All Cooperative Agreement work plan/financial plan documents will be stored in the eFG database, thereby eliminating the loss of documents.

7.1 Record Retention In accordance with the requirements set forth in the 2 CFR Part 200, Subpart D, all financial records, supporting documents, statistical records, and all other records pertinent to the award will be retained by the Recipient for at least three (3) years from the date of submission of the final expenditure report.

When an agreement is under an audit or compliance review, records must be retained for 3 years after all issues are resolved. Retention is required for purposes of Federal examination and audit.

For purposes of file retention, the eFG file is the official file. However, Program Manager files can contain certain documentation exclusively, such as correspondence, which should be retained for the longer period of time for audit purposes. Program Manager files can be uploaded to eFG to avoid duplicate recordkeeping.

1. Cooperative Agreements

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Memorandum of Understanding and Cooperative Agreements reflecting cooperation with other Federal agencies, foreign governments, and private companies. Case file as necessary. Disposition: Temporary Recordkeeping Copies: MICROFILM COPY: Destroy in Agency 5 years after declared obsolete.

Destroy original paper copy after microfilm has been reviewed and found satisfactory. Disposition Authority: [NC1-463-83-2, item 168a (1)]

2. Federal-State Relations

Cooperative Agreements, amendments, and Memorandums of Understanding relating to programs conducted in cooperation with the State governments. EXCEPT: Survey evaluations, reviews, and other material relating to specific subjects or cases. See appropriate subject. Disposition: Temporary Recordkeeping Copies: MICROFILM COPY: Destroy in Agency 5 years after declared obsolete.

Destroy original paper copy after microfilm has been reviewed and found satisfactory. Disposition Authority: [NC1-463-83-2, item 169a (1)]

APHIS may request that the Recipient transfer records to its custody when APHIS decides that the records possess long-term retention value. When the records are transferred to or maintained by APHIS, the 3-year retention requirement does not apply to the Recipient.

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Attachment A: Project Proposal/Work Plan and Budget NOTE: We strongly suggest the work plan be broken out into Commodity sections such as all Avian Health activities in one section, all Cattle Health activities, all Zoonotic/One Health activities, etc. with budget for each Section. The totals of the mini budgets would be rolled into the Detailed Financial Plan listing by commodity, by budget category.

PROJECT PROPOSAL/WORK PLAN AND BUDGET FOR MANAGING [Select UMBRELLA, AVIAN HEALTH or ANIMAL DISEASE TRACEABILITY]

FOR FY 2018

Recipient: Geographic Location: [Provide a precise location of the project and area to be served by the proposed project.] Project Coordinator: [Recipient Organization’s Authorized Representative] Title: Address: Phone: Fax: E-Mail: This Work Plan (WP) reflects a cooperative relationship between the [insert Recipient’s agency name], (the Recipient) and the United States Department of Agriculture (USDA), Animal and Plant Health Inspection Service (APHIS), Veterinary Services (VS). It outlines the mission-related goals, objectives, and anticipated objectives as well as the approach for conducting [National Surveillance and Response for Animal Health Activities or Animal Disease Traceability and the related roles and responsibilities of the parties (e.g. mutual roles, VS role(s), and Recipient role as negotiated.]

CATTLE %

EQUINE CERVID %

SWINE %

ZOONOTIC %

AVIAN %

0% 0% 0% 0% 0%

Involvement by other parties in the project, which is incidental to the agreement, should be discussed later in the WP as contributing parties who will work on the project. Under each selected objective discuss the following: Objective/Need for Assistance For Umbrella Agreements - Clearly and concisely state the project objectives. Objectives are intermediate steps taken to achieve the overall purpose of the surveillance or project activity. Objectives should lead to specific results and be measurable. Describe what surveillance or project activity will be achieved and why it is needed.

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For ADT Agreements – Clearly and concisely state the project objectives for the funding period identified in the Recipient’s Animal Disease Traceability Road Map. Each objective should be followed by an explanation of the steps that will be taken to achieve the overall purpose of the traceability activity. Objectives should lead to specific results and be measureable. Describe what surveillance or project activity will be achieved and why it is needed. The Recipient, if necessary, should update their ADT Road Map to reflect any traceability strategy change since their Road Map was last approved. Approach Plan of Action: Outline a plan of action pertaining to the scope and detail of how the proposed objective will be accomplished by activity or function. If specific (Federal or State) program protocols, actions plans, or uniform rules or other program guidelines must be followed, mention them in this section wherever they apply. Clearly outline the roles and responsibilities that are mutual, those of the Recipient, and those of APHIS in terms of work to be performed, expected goals and outcomes by each party, and resources to be contributed by each. Resource Requirement: Provide a narrative describing the resources required to complete the project objectives. The financial details should be reflected in the financial plan and do not necessarily need to be included in the narrative, but the program narrative and the financial plan must coincide with one another. Any resource requirement listed in this section needs to be rolled up into the detailed Financial Plan. Consider the following: 1. Number and Type of Personnel: Identify title of position, number of hours to be worked, and the

rate of pay per hour (OR percentage of effort and salary rate) for each major task in the project,

total for each employee and the overall total.

2. Fringe Benefits: List benefits included, i.e., healthy and life insurance, unemployment insurance,

workers’ compensation, retirement, including social security, leave and pensions, etc.

3. Contributing Parties: List any third party contributors who may be contributing to this project;

describe the nature of their effort and their contributions.

4. Equipment Required: Provide a description of the equipment to be purchased or leased, including

unit cost, and total purchase or leasing costs. Identify the purpose of each equipment item, and

how it will benefit or be used for the project. Equipment is defined as anything with a per unit value

of $5,000.

5. Travel Requirements:

a. Indicate if state or federal per diem rates are being utilized per written policy of recipients’

organization.

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b. Local and Out of State Travel: Identify any local travel to daily work sites along with the

purpose for the travel. Indicate by position type who will be traveling and by what means.

Indicate the number of trips per day/week/month, as appropriate, mileage and related

rates plus meals (if authorized by regulation). Total projected mileage, rates and total costs

are to be reflected in the financial plan. Out of state travel should identify the same

criteria as local by providing the number of travelers, type and estimated cost of

transportation, to/from destinations, purpose of the trip, i.e., conference, council

meetings, and the total. Provide the cost of transportation, lodging, subsistence and

related items, number of days, the rate per day, and the total.

c. Extended Travel: Identify the extended or overnight travel that will be performed (number

of trips, their purpose, frequency, and approximate dates). Indicate by position type who

will be traveling and by what means. Identify the purpose of each separate trip. If actual

trips are unknown, provide the basis for the proposed travel charges. Indicate the number

of trips, rates, transportation costs, and total cost in the financial plan.

6. Supplies: Provide a description of the supplies required to perform the project activities, how will

the purchase benefit or be used for the project. Identify quantities required and unit costs.

7. Contracts: Identify the purpose of the contract, i.e., what goods or services are being purchased for

what activity and where. Recipient procurement activities shall be in accordance with 2 CFR Part

200, as well as State policy. The work plan should include a statement requiring APHIS’ pre-review

of any statement of work (SOW) where there might be a specific need relevant to APHIS. For

instance, if the Recipient is developing a database and APHIS desires access to the system, APHIS

requires the SOW be reviewed by program management and Information Technology Department

to ensure data recorded is relevant and the type of software or systems used in compatible with

APHIS systems. Otherwise, APHIS might decline to provide funding or have to negotiate some

changes to the SOW to build in acceptable requirements.

8. Other: Identify any direct costs which were not itemized elsewhere, such as: conference registration, communications, printing, publication charges, computer time or usage, or office space rental, square footage, and cost per square foot.

Data Collection and Maintenance: The narrative should include any information on data that will be shared with APHIS. Describe the type of data that will be collected and where it will be maintained. Address timelines for collection and recording of data. Describe how APHIS will be provided access to the data and if an ADT work plan, how ADT data will be shared with other States, when needed. Results: Results from APHIS cooperative agreement funded activities (also known as “deliverables”) are characterized as Performances. These Performances may be described in the form of outputs or outcomes. Both narrative reporting and data reporting are important means of documenting cooperative agreement performances.

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Expected Performances: Outputs – Outputs express the effort expended to achieve a particular goal. They are measures of an activity, effort, and/or associated work products related to surveillance and/or monitoring goal or objective. Outputs will be produced or provided over a period of time or by a specific date and may be quantitative or qualitative but must be measurable during the agreement funding period. This may be the number of surveillance samples collected, training sessions conducted, activities carried out, or reports produced. Outputs are almost always numbers. Outcomes – Outcomes are the results, effect or consequences that will occur from carrying out the funded activity or program that is related to a surveillance and/or monitoring goal or objective. Outcomes may be surveillance, health-related or monitoring in nature, must be quantitative, may be intermediate in nature, and may not necessarily by achievable within the agreement funding period. Outcomes typically represent an achievement or a change in areas such as knowledge or disease condition. Data Output Reporting – The narrative shall acknowledge that Performances requiring a data submission will be submitted by the Recipient on the spreadsheets or templates supplied by APHIS or, when applicable, by utilizing the data system provided by APHIS for the activity. Timeliness of data submission should also be mentioned so it complies with program needs. For ADT please refer to Appendix B.2 ADT Outreach For Avian Health, please refer to Appendix C – Avian Health Data Requirements.

Attachment H: Work Plan Formulation Table

WORK PLAN FORMULATION TABLE To assist in the development of the program work plan/proposal, the following table has been prepared as a guide. The work plan/proposal should describe, in detail, the activities to be conducted by the parties to the agreement. Involvement by other parties in the program or project, which is incidental to the agreement, should also be discussed. The work plan for a cooperative agreement discusses the roles and responsibilities of the parties signing the agreement (i.e., those that are mutual, APHIS’, and the recipient’s) and the interaction between them as well as their resource contributions. For a grant, the proposal would address activities exclusively conducted by the Grantee as APHIS would not have a role in conducting the project. Major topics outlined (I, II, III, IV, and V) should be included in each work plan/proposal. It is not intended to be all inclusive, but to serve as a reference for items which should be discussed in the development of the program narrative.

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An introductory paragraph should be included to identify the cooperating parties and the overall purpose of the initiative as illustrated in the next paragraph.

This Work Plan reflects a cooperative relationship between the (insert Recipient’s agency name) (the Recipient) and the United States Department of Agriculture (USDA), Animal and Plant Health Inspection Service (APHIS), Veterinary Services (VS) under a Notice of Cooperative Agreement/Grant Award. This Work Plan also outlines the mission-related goals, objectives, and anticipated Performances as well as the approach for conducting a (insert description of program, e.g., gypsy moth survey and control program) and the related roles and responsibilities of the parties as negotiated.

WORK PLAN FORMULATION TABLE

SECTION

TITLES

Questions that are to be considered in addressing each Section, as applicable. Questions are not to be inserted into the Work Plan. Use bolded text as subsection titles, when applicable to the project. Write in a narrative format and place under each Section of Column 1, as appropriate.

I. OBJECTIVES AND NEED FOR ASSISTANCE

A. Relevant Need or Problem Requiring a Solution What relevant need or problem within the applicant’s mission area requires a solution in carrying out a public purpose of support or stimulation authorized by a United States law?

Pinpoint any relevant physical, economic, social, financial, institutional, or other problems requiring a solution. How does the need or problem align with the mission area and strategic goals of APHIS?

B. Supporting Documentation Is there any relevant supporting documentation or other testimonies from concerned interests other than the applicant that needs to be referenced or incorporated by reference? Any relevant data based on planning studies should be included or footnoted.

C. Need for Assistance Why and in what way does the applicant need APHIS assistance? Demonstrate the need for the assistance and state the principal and subordinate objectives of the project.

II. RESULTS OR BENEFITS EXPECTED

What results or benefits will be derived by providing assistance to the applicant for this cooperative effort?

III. APPROACH

What is the overall approach to the project?

This Section should discuss an overall plan of action and clearly outline in separate sections the roles and responsibilities that are mutual, those of the recipient, and those of APHIS in terms of work to be performed, expected Performances by each party, and resources to be contributed by each. A grant proposal would reflect only the work of the grantee.

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SECTION

TITLES

Questions that are to be considered in addressing each Section, as applicable. Questions are not to be inserted into the Work Plan. Use bolded text as subsection titles, when applicable to the project. Write in a narrative format and place under each Section of Column 1, as appropriate.

The following subsections will assist in the preparation of a concise proposal that provides APHIS with the information required to determine the appropriateness of a cooperative agreement or grant. These sections are to be included in the work plan as applicable.

A. Plan of Action

What is the overall plan of action for the project pertaining to the

scope? How will the proposed work be accomplished for the project? Cite factors which might accelerate or decelerate the work and reasons for taking this approach as opposed to others.

B. Work Performed by Activity or Function The activities or functions must be within the scope of the Award and consistent with the terms and conditions therein. Provide a description for each of the activities or functions (e.g., survey, regulatory, control, etc.) for which funding is to be expended. Define roles and responsibilities of the parties within each functional area. If specific program protocols, action plans, or uniform rules or other program guidelines must be followed, mention them in this section wherever they apply.

C. How each Activity or Function is to be Accomplished By activity or function, what work is to be accomplished? Cite program standards, action plans, or other program guidelines as a standard for conducting the particular functions for this program, as applicable.

D. Unusual Features Describe any unusual features of the project, such as design or technological innovations, reductions in cost or time, or extraordinary social and community involvements.

E. Resources Required Specify the resources to be contributed by each party. This information should support what is reflected in the detailed Financial Plan to the Work Plan/Proposal. 1. Number and Type of Personnel: What numbers and types of

personnel will be needed? Tie these needs back to the activities outlined in III.A.

a. Current Employees: Are the employees currently employed or

will they be hired?

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SECTION

TITLES

Questions that are to be considered in addressing each Section, as applicable. Questions are not to be inserted into the Work Plan. Use bolded text as subsection titles, when applicable to the project. Write in a narrative format and place under each Section of Column 1, as appropriate.

b. Recruitment: If recruited, who will hire the personnel, and what mechanism will be used to hire them?

c. Pay Status of Employees: Will they be full-time or part-time?

Are they paid or volunteers? d. Unemployment: How will unemployment payments be

handled upon terminating assistance? Ensure compliance with APHIS limits specified in the Terms and Conditions.

SECTION TITLES

QUESTIONS/SUBSECTION TITLES

2. Equipment Needed: What equipment will be needed to perform the work? Include major items of equipment with a value of $5,000 or more. Identify information technology equipment, e.g., computers, and their ancillary components.

a. Equipment Provided: What equipment will be provided by: 1. Recipient 2. APHIS

b. Purchased with APHIS Funds: What equipment will be purchased by the recipient in whole or in part with APHIS funds?

c. Uses for Equipment: How will the equipment be used? d. Method of Acquisition: How will the equipment be acquired,

i.e., purchase, lease (GSA or commercial, donated by a third party, etc.)? Who will handle acquisition needs? Recipient procurements shall be in accordance with OMB Circulars A-102 or A-110 (Attachment 0), as applicable.

e. Method of Disposition: What is the proposed method of

disposition of the equipment upon termination of the agreement/project?

3. Supplies Needed: What supplies will be needed to perform the

project activities?

a. Supplies Provided: What supplies will be provided by:

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SECTION

TITLES

Questions that are to be considered in addressing each Section, as applicable. Questions are not to be inserted into the Work Plan. Use bolded text as subsection titles, when applicable to the project. Write in a narrative format and place under each Section of Column 1, as appropriate.

1. Recipient? 2. APHIS?

b. b. Purchased with APHIS Funds: What supplies will be purchased

by the applicant in whole or in part with APHIS funds? c. Uses for Supplies: How will the supplies be used?

d. Method of Acquisition: How will supplies be acquired, e.g.,

purchased, donated by third parties? Who will handle acquisition needs? Recipient procurements shall be in accordance with OMB Circulars A-102 or A-110 (Attachment 0), as applicable.

SECTION

TITLES QUESTIONS/SUBSECTION TITLES

e. Method of Disposition: What is the proposed method of disposition of the supplies with a cumulative value over $5,000 upon termination of the agreement/project?

4. Special Contracts:

Are there special contractual requirements, e.g., aerial application, pesticides, cleaning and disinfecting, etc.? Which contracts will be awarded by the recipient and by APHIS?

What is the purpose of the contract, i.e., what goods or services are being purchased and for what activity and where? Recipient procurements shall be in accordance with OMB Circulars A-102 or A-110 (Attachment X), as applicable.

5. Travel Needs:

What are the travel needs for the project?

a. Local Travel: Is there any local travel to daily work sites? What is the purpose? Who, by position type, travels and by what means? Who is the approving official? What are the methods of payment? Indicate number of trips per day/week/month, as

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SECTION

TITLES

Questions that are to be considered in addressing each Section, as applicable. Questions are not to be inserted into the Work Plan. Use bolded text as subsection titles, when applicable to the project. Write in a narrative format and place under each Section of Column 1, as appropriate.

appropriate, mileage and related rates plus meals (if authorized by regulation). Total projected mileage, rates, and total costs are to be reflected in the Financial Plan.

b. Extended Travel: What extended or overnight travel will be

performed (number of trips, their purpose, frequency and approximate dates)? What is the purpose? Who is the approving official? What is the method of payment? Indicate number of trips, rates, transportation costs, and total cost in the Financial Plan.

F. Projected Performances: By activity or function, what are the projections of Performances to be achieved?

1. Quantitative Projection of Performances: What are the

anticipated Performances by month, quarter, or other specified intervals?

a. Monthly Performances: b. Quarterly Performances: c. Other specified intervals:

.

SECTION TITLES

QUESTIONS/SUBSECTION TITLES

2. Non-quantitative Performances:

When Performances cannot be quantified, list the activities in chronological order to show the schedule of Performances and target expected completion dates

G. Data Collection and Maintenance

The narrative is to include any information or data that will be shared with APHIS. What type of data will be collected and how will it be maintained? Address timelines for collection and recording of data. How will APHIS be provided access to the data?

H. Project Evaluation

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SECTION

TITLES

Questions that are to be considered in addressing each Section, as applicable. Questions are not to be inserted into the Work Plan. Use bolded text as subsection titles, when applicable to the project. Write in a narrative format and place under each Section of Column 1, as appropriate.

1. Criteria: What criteria will be used to evaluate the results and successes of the project?

2. Methodology: What methodology will be used to determine if needs identified and discussed are met and if the results and benefits are achieved?

I. Contributing Parties Are there any other organizations, Recipients, consultants, or other key individuals, in addition to the parties to this agreement, who will be working on the project? Who are they and what is the nature of their effort and their contribution? These organizations would be third party contributors who could be in separate agreements with the parties to the agreement covered by this project.

IV. GEOGRAPHIC LOCATION

What is (are) the precise location(s) of the project and area to be served by the proposed project? Maps or other graphic aids may be attached. This information is important in determining the extent of the Executive Order 12372 Intergovernmental Review.

V. SUPPLEMENTAL INFORMATION

If applicable, provide the following information:

A. Research and Demonstration Assistance

Present a biographical sketch of the program director with the following information: name, address, telephone number, background, and other qualifying experience for the project. Also, list the name, training, and background for other key personnel engaged in the project.

B. Relationship to other Projects

Describe the relationship between this project and other work planned, anticipated, or underway under Federal assistance.

SECTION TITLES

QUESTIONS/SUBSECTION TITLES

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SECTION

TITLES

Questions that are to be considered in addressing each Section, as applicable. Questions are not to be inserted into the Work Plan. Use bolded text as subsection titles, when applicable to the project. Write in a narrative format and place under each Section of Column 1, as appropriate.

Explain the reason for all requests for supplemental assistance and justify the need for additional funding.

C. Performances to Support New Funding Requests

Discuss Performances to date and list in chronological order a schedule of Performances, progress, or milestones anticipated with the new funding request. D. Revisions and Extensions

If there have been significant changes in the project objectives, location, approach, or time delays, explain and justify. For other requests for changes, or amendments, explain the reason for the change(s). If the scope or objectives have changed or an extension of time is necessary, explain the circumstances and justify (including a new timeline). If the total budget has been exceeded or if the individual budget items have changes more than the prescribed limits, explain and justify the changes and its effects on the project.

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Attachment B: Detailed Financial Plan Detailed Financial Plan template

DETAILED FINANCIAL PLAN (RECIPIENT NAME) – (TIME PERIOD) Financial Plan must match the SF-424-A, Section B – Budget Categories

Item Total Budget

Personnel

Subtotal

Fringe Benefits

Subtotal

Travel

Subtotal

Equipment

Subtotal

Supplies

Subtotal

Contractual

Subtotal

Other

Subtotal

Totals

TOTAL DIRECT COSTS

INDIRECT COSTS (% of Total Direct Costs)

TOTAL PROJECT COSTS

Less Recipient Share

APHIS Cost Share

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Example of Attachment B - Detailed Financial Plan

**Financial Plan must match SF-424-A, Section B-Budget Categories**

Item Total Budget

Personnel

5 Field Inspectors @ $11.00/hr. for total; 2080 hours $114,400.00

1 State field supervisor @ ¾ salary $31,896.00

1 temp clerk @ 20/hrs. per week for 52 weeks @ $13.00/per hr. $13,520.00

1 Clerical for 52/weeks @ 2/hr. per week @ $13.50/per hr. $1,404.00

Subtotal $161,220.00

Fringe Benefits

33% of salary of permanent employees $48,741.00

24% of wages of temporary employees $3,245.00

Subtotal $51,986.00

Travel

5 Field Inspectors @ 400/mi per wk. for 39 wks. @ $0.365/mi $28,470.00

1 Field Supervisor @ 500/mi per wk. for 52 wks. @ 0.365/per mi $9,490.00

Annual USAHA meeting in Minneapolis, Minnesota $1,500.00

Subtotal $39,460.00

Equipment Back-up Power Generator, Quiet Series $5,300.00

Subtotal $5,300.00

Supplies

Office supplies: #10 Envelopes (6@$38=$228) + #9 Envelopes

(6@$38=$228) + File Folders (16@$22.00=352) $808.00

Brochures, Posters: Paper (10@$45=$450) + P-Touch Labels

(15@$22.30=$335) $784.50

Disposable Biosecurity Suits for Inspection Visits $1,120.00

Subtotal $2,712.50

Contractual Animal Diagnostic Lab: Sample Testing: 500 samples @ $10.00 each $5,000.00

Subtotal $5,000.00

Other

Toll-Free project hotline $600.00

Include total lab testing cost and cost per test

Subtotal $600.00

Totals

TOTAL DIRECT COSTS $266,278.50

INDIRECT COSTS (28% Of Total Direct Costs) $74,558.00

TOTAL PROJECT COSTS (100%)$340,836.50

Less Recipient Share (20%) $68,167.30

APHIS Cost Share (80%) $272,669.20

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Attachment B.1: ADT Required Financial Plan ADT FY18 Budget Template (Mandatory)

Attachment C: Certification Regarding Lobbying Certification Regarding Lobbying Form

Attachment E: Property Report for Equipment Currently there is no current OMB Property Report to use. Please use the attachment below until an official OMB property report is posted to the OMB website. Equipment Log

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Attachment F: Sample Pre-Award Request from Recipient

(Place on Organization’s letterhead. Please ensure signature lines are included on a page with text, not by themselves. )

TO: APHIS-VS Signatory Official (Awarding Official) THROUGH: APHIS-VS Program Manager (Insert name of VS-SPRS Assistant Director) Your concurrence is requested to allow pre-award costs to be incurred for the Cooperative Agreement between APHIS-VS and (Insert Recipient’s name) beginning on (Insert date). This request is for a period not to exceed 90 days. It is necessary to begin work on this project at this time because … (Please provide justification detailing the anticipated activities/costs to occur during this 90-day period and why work needs to begin prior to finalization of the award. Explain programmatic impact if work does not begin or continue on the aforementioned date. This information will provide APHIS-VS with the information to approve or deny the request.) The requested pre-award amount of $00.00 (up to 90 days’ worth of expenses) represents a realistic estimate of costs that may be incurred prior to finalizing the Award. These costs will not exceed the planned obligations requested on the SF-424, Application for Federal Assistance. Enclosed is a schedule supporting the anticipated costs during the requested 90-day pre-award period. (Please prepare a financial plan outlining the costs anticipated during this 90-day pre-award period; send as an attachment to this letter.) I agree to manage the Cooperative Agreement funded by APHIS-VS in accordance with Title 2 Code of Federal Regulations Part 200 and the associated Office of Management and Budget (OMB) Circular governing costs allowed, and all other applicable laws, regulations and guidelines. I understand that APHIS-VS is under no obligation to reimburse these pre-award funds in the absence of a Federal Appropriation, if the award is not finalized, or if an award is made for an amount less than requested. Further, I understand that reimbursements of such costs are contingent upon full execution of the Award for this project. Your consideration of this request is greatly appreciated. Sincerely, Recipient’s Name Title Concurrences: __________________________________________________ APHIS-VS Program Manager Date __________________________________________________ APHIS-VS Agreements Specialist Date Approved: __________________________________________________ APHIS-VS Signatory Official Date

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Attachment G: Questionnaire Used For Audit Desk Reviews

Financial Review Questionnaire

Appendix A.1: National Scrapie Eradication Program FY2018, Sheep and Goat Sampling Minimums Sheep FY18 Sampling Minimums Goat FY18 Sampling Minimums The annual state-of-origin sampling minimum for sheep is 20% of the number required to detect a Scrapie prevalence in the state of 0.1% with 95% confidence or 1% of the breeding sheep in the state, whichever is less. The annual state-of-origin sampling minimum for goats is determined by its sampling status, High (H) or Low (L). States with a High sampling status have had a goat case since FY 2001 and have not sampled sufficient goats since the last classical Scrapie case to detect a Scrapie prevalence in the state of 0.1% with 95% confidence, or 5% of the breeding flock in the state, whichever is less.

The annual state-of-origin sampling minimum for “High” states is 20% of the number required to

detect a Scrapie prevalence in the state of 0.1% with 95% confidence or 1% of the breeding goats

in the state, whichever is less (similar to the formula used to determine sheep sampling

minimums).

The annual state-of-origin sampling minimum for “Low” states is the state’s proportion of the

national goat breeding population x 3,000 (the number of samples required to detect Scrapie in

the national goat herd at a prevalence of 0.1% with 95% confidence).

Sheep and goat breeding populations are determined annually by NASS (Sheep and Goat report, January 31, 2016)

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Appendix A.1.1: Concentration Point Sheep/Goat Compliance Report Unless State personnel/contractors are responsible for compiling the ID Compliance data and assembling the final report, only the State contribution should be included with the quarterly Performance report. In cases where State personnel/contractors are responsible for compiling the State and APHIS data and assembling the final report, the final report should be submitted with the quarterly report. In such cases the accompanying narrative must indicate the percent of the effort that was accomplished by the State. Below are templates to use for reporting or the equivalent. This is the template for States that are not responsible for compiling the final report. Sheep Goat ID States that do NOT Compile This is the template for the final report. States that compile the final report should use this template. Sheep Goat ID States that Compile

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Appendix A.2: Swine Health Active Surveillance Sampling Targets Tables

Swine Health Activities Relating to PRV/Swine Brucellosis Comprehensive Swine Surveillance Serum Sample Collections

High risk samples are samples collected from any swine raised outdoors or with access to outdoors and are directed towards meeting the surveillance objective of early detection. This activity does not include sampling of feral swine or captured feral swine moving to slaughter. Shipping costs to the Kentucky Federal Brucellosis Laboratory along with PRV and SB testing costs are covered elsewhere and are not to be included in the funding request. Ensure all high risk samples collected are shipped with the code SBAS (Surveillance-Based Alternative Sampling) on the pre-paid shipping label and SBAS on the proper submission forms. The Kentucky Federal Brucellosis Laboratory personnel will recognize and not discard SBAS-coded samples and will enter test results in SCS/LTE for access. Work outlined in this document can be done by cooperative agreement or through the use of VS Area personnel. Contact national swine staff with any questions.

State High Risk Target State High Risk Target

Iowa 200 Arizona 50 North Carolina 1,000 Alabama 50 Minnesota 100 South Carolina 50 Illinois 50 New York 100 Oklahoma 500 Washington 75 Nebraska 100 Idaho 75 Missouri 500 Maryland 100 Indiana 400 Virginia 200 Ohio 400 California 300 Kansas 400 Florida 200 South Dakota 50 Hawaii 400 Colorado 100 Louisiana 200 Michigan 300 Massachusetts 100 Texas 2,500 Oregon 100 Pennsylvania 500 New Jersey 100 Utah 50 West Virginia 100 Arkansas 500 Maine 100 Mississippi 200 Vermont 100 Kentucky 200 New Hampshire 100 Wisconsin 50 Delaware 50 Wyoming 50 Connecticut 100 North Dakota 50 New Mexico 50 Georgia 200 Rhode Island 50 Montana 50 Alaska 30

Tennessee 100 Nevada 30

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Appendix A.3: CSF and PRV/SB Active Surveillance Field Sampling Guidance For specifics on the CSF Surveillance Program objectives, methods, reporting requirements, and communications, see the CSF Surveillance Manual. For specifics on the PRV Surveillance Program objectives, methods, reporting requirements, and communications, see the PRV Surveillance Manual. The highest priority for sampling within this program is placed upon the highest risk samples as determined by a local risk evaluation. For states not listed, please contact VS Swine Staff at APHIS-VS.SPRS.ASAAHC.Swine@ aphis.usda.gov for guidance in determining eligibility for sampling under the umbrella agreement. Note: This guideline contains sample types only. The NAHLN lab for each State to send samples to will be communicated separately.

State Number of CSF

samples CSF Sample Type CSF Premises Type

PRV high risk* sampling (serum samples)

AR 190 serum Garbage feeder 300

CA 500 tonsil SLA high-risk market swine 300

CO 300

FL 1,300 serum transitional on- farm/SLA

FL 205 serum Garbage feeder

GA 300

HI 50 tonsil SLA high-risk market swine 100

HI 390 serum Garbage feeder

IA 1,000 tonsil SLA high-risk market swine 150

IL 150 tonsil SLA high-risk market swine 150

IN 400 tonsil SLA high-risk market swine 150

KS 65 tonsil SLA high-risk market swine 150

MI 300

MO 300

MN 300 tonsil SLA high-risk market swine 150

NC 300 tonsil SLA high-risk market swine 300

NC 100 serum Garbage feeder

NE 20 tonsil SLA high-risk market swine 100

NJ 25 serum Garbage feeder 100

NY 300

OH 50 tonsil SLA high risk market swine 300

OH 70 serum Garbage feeder

OK 25 serum Garbage feeder 300

PA 25 tonsil SLA high-risk market swine 300

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State Number of CSF

samples CSF Sample Type CSF Premises Type

PRV high risk* sampling (serum samples)

PR 1,085 serum Garbage feeder 100

SC 300

SD 50 tonsil SLA high-risk market swine 100

TN 300

TX 250 tonsil SLA high-risk market swine 300

TX 2900 serum Transitional on- farm/SLA

TX 230 serum Garbage feeder

VT 300

WI 100 tonsil SLA high-risk market swine 300

*PRV high risk samples have previously been submitted to state/ NAHLN labs. Targets for this testing, such as garbage feeders and high risk market swine, are highly recommended for both PRV and SB surveillance. Unless a state prefers to test locally for SB at their own expense, we recommend these samples be shipped to, and be tested at the Kentucky Federal Brucellosis Laboratory for both diseases at no cost to the states.

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Appendix A.4: Cattle Health Surveillance Activities

Surveillance Activities

Number

Brucellosis BSE

Cattle

Fever

Tick

TB

Number of slaughter surveillance samples tested N/A

Number of CATTLE HERDS tested N/A

Number of CATTLE tested

Number of BISON HERDS tested N/A N/A

Number of BISON tested N/A

Number of cattle and domestic bison herds tested

through surveillance in geographic areas where

brucellosis or TB has been identified in livestock or

wildlife.

N/A N/A

Number of cattle and domestic bison (total animals)

tested through surveillance in geographic areas where

brucellosis or TB has been identified in livestock or

wildlife.

N/A N/A

Number of WILDLIFE (by animal species) tested

through surveillance in geographic areas where

brucellosis or TB has been identified in livestock or

wildlife.

N/A N/A

Appendix A.4.1: Epidemiological Investigations and Disease Response Activities

Epidemiological Investigations and Disease Response Activities

(for domestic cattle and bison)

Number

Brucellosis Cattle

Fever

Tick

TB

Number epidemiologic investigations initiated in cattle and bison.

Number epidemiologic investigations closed in cattle and bison.

Number of CATTLE HERDS tested during the course of

epidemiologic investigations.

Number of CATTLE tested during the course of epidemiologic

investigations.

Number of BISON HERDS tested during the course of epidemiologic

investigations.

Number of BISON tested during the course of epidemiologic

investigations.

Number of domestic cattle and privately owned bison herds for which

risk assessments were completed during the course of epidemiologic

investigations.

Number of domestic cattle and privately owned bison herds for which

individual herd disease management plans were developed. Note:

This is most applicable for herds in designated surveillance areas.

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Appendix A.4.2: Cattle Health Brucellosis and Tuberculosis Activities

Activities

Brucellosis Number of Vaccinations *Report OCV and Adult vaccination separately

Number of live animal tests performed *For ID, MT and WY - report total DSA testing and all other tests separately

Number of Reactors

Number of Certified brucellosis free herds

Tuberculosis Number of veterinarians* that performed CFT *Report total number of accredited veterinarians, State veterinary personnel and

federal veterinarians separately

Number of veterinarians* testing more than 300 head (in past year or

cumulative years, see VS memo 552.29, pages 20-21 for details) *Report

total number of accredited veterinarians, State veterinary personnel and federal

veterinarians separately Number of veterinarians* testing more than 300 (total from above) that

met the minimum standard *Report total number of accredited veterinarians, State veterinary personnel and

federal veterinarians separately

Number of CFT tests performed *Total CFT tests performed by accredited veterinarians, State veterinary personnel

and federal veterinarians combined

Number of CFT responders

Appendix A.5: Epidemiological Investigations and Disease Response Activities for Commodity/Centers (other than Cattle Health)

Field Activities for

the reporting period

Scrapie Cervid TB Cervid

Brucellosis

Etc – add more

columns are

needed

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Appendix B.1: ADT Cooperative Agreement Program Manager Checklist FY2018

ADT Program Manager Checklist

Appendix B.2: ADT – Outreach

Description of Outreach or Education Activity

(Including goal or objective and primary audience)

Note: Add rows as needed.

Dates Location Number in

Attendance

Appendix B.3: Description of Outreach or Education Activity

Description of Outreach or Education Activity

(Including goal or objective and primary

audience)

Note: Add rows as needed.

Dates Location Number in

attendance

Program(s)

Supported

Example:

Appendix B.4: Program Specific Outreach or Education Activity

Program-Specific Outreach or Education Activity

Number Contacted Regarding each Cattle

Health Program*

Brucellosis BSE Cattle

Fever

Tick

TB

Number of slaughter establishments visited

Number of newly accredited veterinarians trained

Number of accredited veterinarians provided

“refresher” training

Number of accredited veterinarians contacted regarding

failure to meet performance standards for Caudal Fold

Test Response Rates

N/A N/A N/A

Number of producers involved in outreach or training

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Number of public health laboratories contacted

concerning submission of rabies samples for BSE

testing

N/A N/A N/A

Appendix B.5: RSSS Activities for the Reporting Period

RSSS activities for the reporting period Number *

No. of animals sampled

No. of samples entered into VSLS

Positive flocks identified

RSSS and potential RSSS sites visited for purposes

other than sample collection to support collection

activities

New RSSS sites added

*Include only work done by the State as part of the agreement not work done by APHIS.*

Appendix B.6: Non-RSSS Surveillance Activities for the Reporting Period

Non-RSSS surveillance activities for the reporting

period

Number*

No. of suspect sheep/goats investigated

No. of sheep/goats sampled

No. of flocks sampled

No. of flocks genotyped to identify animals for live

animal testing

Positive flocks identified

*Include only work done by the State as part of the agreement not work done by APHIS.*

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Appendix B.7: Investigations and Activities for FAD, Zoonotic/One Health and Non-program Diseases

# of FAD

Investigations

# of

Investigations

involving animals

conducted in

partnership with

public health or

where there were

associated human

cases.

Other

investigations

not associated

with a VS

program

disease

Field

Activities

for the

reporting

period

Total

Amount

or

Number

Cattle

Swine

Equines

Cervids

Sheep

Goat

(Add row for each

species or

commodity)

Total No. of

Investigations

Total Estimated

Cost/ No. of

Investigations

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Appendix B.8: Avian Health Surveillance Goals The goals for the performance period should be reported on the attached spreadsheet. These goals should then be appended to the work plan. Diagnostic test costs requested should match these goals. Avian FY18 Surv Goals Worksheets

Test Type and Numbers

Poultry Type

AG

ID

Nu

mb

er

of

test

s

ELIS

A

Nu

mb

er

of

test

s

Egg

(AG

ID o

r EL

ISA

)

Nu

mb

er

of

test

s

PC

R

Nu

mb

er

of

test

s

AC

IA

Nu

mb

er

of

test

s

VI -

Bir

d

Nu

mb

er

of

test

s

VI -

Envi

ron

me

nta

l N

um

be

r o

f

test

s

Nu

mb

er

of

Bir

ds

Test

ed

Egg-type chicken breeding flocks

Meat-type chicken breeding flocks

Meat-type turkey breeding flocks

Subpart E breeding flocks

Upland Game bird breeding flocks

Commercial table-egg layers

Commercial meat-type chickens

Commercial meat-type turkeys

Raised for release upland game birds

Commercial meat upland game birds

Commercial meat water fowl

Production Facilities

Distributer (Wholesalers, dealers, truckers)

Retail markets and small processors

Auctions, Feed stores and small sales

Fairs and Shows Cratewash/Truckwash facilities Backyard and Hobby Flocks Sick bird calls Other (Please Specify) Other (Please Specify) TOTALS

Number of Diagnostic Necropsies

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Appendix B.9: Avian Equipment Request Form Avian Equipment Request Form

Appendix C: Avian Influenza Data Requirements

The spreadsheet attached below must be utilized and submitted quarterly in Excel format. Avian FY18 Reporting – NPIP, LBMS, BKYD