4/16/97
OPR - Director's Office/Technology Transfer Office
1. Purpose. This chapter establishes U.S. Geological Survey (USGS) policy and procedures for engaging in cooperative research and development projects with private sources.
2. Authority.
A. 43 U.S.C. 36c, Acceptance of contributions from public and private sources (by the U.S. Geological Survey).
B. 15 U.S.C. 3710a, the Stevenson-Wydler Technology Innovation Act of 1980, as amended by the Federal Technology Transfer Act of 1986 (FTTA).
3. Definition. A Cooperative Research and Development Agreement (CRADA) means any agreement between one or more Federal laboratories and one or more non-Federal parties under which the Government, through its laboratories, provides personnel, services, facilities, equipment, intellectual property, or other resources with or without reimbursement (but not funds to non-Federal parties) and the non-Federal parties provide funds, personnel, services, facilities, equipment, intellectual property, or other resources toward the conduct of specified research or development efforts, which are consistent with the missions of the laboratory, except that such term does not include a procurement contract or cooperative agreement as those terms are used in Sections 6303, 6304, and 6305 of Title 31. (15 USC 3710a(d)(1)). Property and equipment provided under the CRADA shall be provided in accordance with established USGS Property Management policies and procedures.
4. Scope. This chapter applies to CRADAs only. A CRADA is not a procurement contract, grant or cooperative agreement. The following items are outside the scope of this chapter. For additional information, see the chapters referenced.
A. Cooperative work with federal, state and local government agencies (see SM 500.1 and SM 500.3) or Non-Federal Entities (see SM 500.2).
B. Specimens or data which are normally exchanged among professional colleagues. Such contributions are in no way to be discouraged or impeded.
5. Policy.
A. USGS will only participate in CRADAs with private sources that support scientific research, technological development, and data systems pertaining thereto.
B. CRADAs must meet the following criteria to be accepted.
(1) They will serve the public, i.e.:
(a) They are in the public interest;
(b) They will not significantly disadvantage any public group; and
(c) Information about the projects will be in the public domain.
(2) They are in compliance with laws and regulations, i.e.:
(a) They cannot be in conflict with the USGS Organic Act, as amended, current USGS Appropriations Acts, anti-trust laws or other applicable laws and regulations;
(b) No individual member of the USGS, the Department of the Interior, other Government agencies, or Member of Congress can benefit personally from the project unless they are an inventor while participating in a cooperative research and development project. Government employees are allowed royalty payments for such inventions;
(c) Projects are so structured that conflict-of-interest statutes and regulations will not be compromised, proprietary information can be protected to the extent permitted or required by law, and safeguards against the premature release of sensitive information are included; and
(d) They are not in violation of OMB Circular A-76 on policies for acquiring commercial or industrial products and services needed by the Government or any pertinent interagency agreements which the USGS has with other Government agencies.
(3) They are compatible with USGS missions, i.e.:
(a) They will aid or facilitate USGS programs; and
(b) The experience and support necessary for the conduct of the project are available in the USGS.
(4) They will not adversely affect the scientific integrity of the USGS, i.e.: They will not compromise the objective fact- finding mission of the USGS in fact or appearance.
(5) Adequate funding is provided, i.e.:
(a) The scope of a project does not exceed the proposed funding; and
(b) If necessary to the project, private funds will be available from year to year.
C. Except as provided in paragraph 8 below, USGS employees will not propose CRADAs with private sources.
6. Clearance of Proposals. After a proposal is received, the Division Chief(s) assigned the responsibility for the proposed activity will submit a recommendation to the Associate Director for Operations, through the Business Enterprise Council (BEC), (SM 308.42). It should contain a summary description of the project, its estimated cost and duration, the proposed sharing of funding and work, and an explanation of how the proposal complies with the criteria in SM 500.20.5. The BEC in turn will review the proposal in accordance with SM 308.42.
7. Legal Review. Before any agreement for a project is consummated, the proposal should be submitted to the Department of the Interior's Solicitor and its Ethics and Audit Liaison Officer for a determination that it is in compliance with the law and conflict-of-interest regulations. Submittal of the proposed Cooperative Research and Development Agreement (CRADA) for legal review will be made through the Technology Transfer Office as part of the review and recommendation by the process of the BEC.
8. Cooperative Research and Development Projects.
A. Preliminary Discussions. Division Chiefs and their designees are authorized to hold preliminary discussions with private sources about proposed projects which meet the criteria in SM 500.20.5. These discussions must not be binding on the USGS; they should identify the nature and scope of the proposed project, its estimated cost, financing method, and other significant aspects of the project. The reader is referred to the U.S. Geological Survey's Technology Transfer Handbook for a more definitive description of the entire agreement formulation process and all necessary forms. The Handbook is avalable on-line and in paper form.
B. Form 9-2040, Cooperative Research and Development Agreement (CRADA) In the Technology Transfer Handbook is the form to be used as the cover page when preparing a CRADA. The project description and statement of work follow the cover page. CRADAs will be completed in accordance with the instructions in the Technology Transfer Handbook. Changes in or additions to the CRADA may be required in order to comply with the Technology Transfer Handbook requirements applicable to particular projects. The agreement may not include any language restricting competition in procurement actions under the agreement, such as designation of equipment to be used by brand name or commitments to use specific suppliers or subcontractors. The Associate Director is the approving authority for all CRADAs.
C. Collection of Contributed Funds. Funding contributions from private sources must be received in advance of beginning work on the project. Contributions of $25,000 or less should be made in a single payment. For larger contributions, a payment schedule will be negotiated and recorded in the CRADA. Divisions are responsible for preparing advance billings in accordance with SM 336.2 for those contributors that require a billing document before remitting their contributions. Checks should be made payable to the U.S. Geological Survey, properly identified with the CRADA number, and forwarded to the Office of Financial Management.
D. Extension of Cooperative Research and Development Agreements can be effected by completion of Form 9-2041 (Technology Transfer Handbook). Extensions should be submitted to the Associate Director for Operations for approval as early as possible prior to the CRADA expiration date.
E. Direction of Cooperative Research and Development Projects. Projects conducted in collaboration with private sources will be under the administrative control and technical direction of the USGS.
F. Document File. Division Chiefs are responsible for maintaining the official file on all projects undertaken with private firms. The sponsoring Division will make the following distribution of approved CRADAs:
Original: retain in official Division file
Signed original: Collaborating Party
Photocopy: Assistant Director for Research
Chief, Technology Transfer Office
Office of Financial Management
9. Public Announcement. After it is determined that the proposed cooperative project meets the criteria for acceptance and is in compliance with the law and conflict-of-interest regulations, an announcement will be placed in the Federal Register to inform the public and other concerned sources of the purpose, and inviting additional participation, if appropriate, for the same or similar purpose.
10. Publication. Reports will be prepared on the results of all projects conducted with contributions from private sources and made available to the public. Release of information and/or data shall be in compliance with the terms and conditions of the CRADA (Article 7 of the Gerneral Provisions). The procedures of SM 431.8, Federal Register Documents, will be observed in preparing announcements.