Appendix A: Manual for Preparing CRIS Forms

Table of Contents
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
Introduction to the Current Research Information System - CRIS . . . . . . . . . . . . . . . . . . . . . . . .
CRIS Project Management System . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Information Services . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Form AD-416: Research Resume . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
AD-417: Classification of Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
AD-419: Research Funds and Staff Support (Non Federal Institutions) . . . . . . . . . . . . . . . . . . .
AD-421: Progress Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
CRIS Forms Assistance Program - Web Forms . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Research Project Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
CSREES Formula Funded Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
CSREES Grants and Cooperative Agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Non-federal (State) Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Processing, Review, and Approval Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
CSREES Formula Funded Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
CSREES Funded Grants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
State Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
AD-416 Detailed Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Form AD-416 - Research Resume . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Reporting Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Date . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Field 1: Accession Number . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Fields 2 - 3: Agency Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Field 5: Work Unit/Project Number . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Field 6: Status . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Field 7: Project Title . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Integrated Activity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Field 8: Performing Organization . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Field 9: Cooperating Departments within Performing Institution . . . . . . . . . . . 10
Field 10: Multistate Project Number . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Field 11: Cooperating States-non multistate projects . . . . . . . . . . . . . . . . . . . . 10
Field 12: Investigator Name(s) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Field 13: Project Contact . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Field 14: Project Type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Fields 15 - 18 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Field 19: Start Date . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Field 20: Termination Date . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Field 21: Objectives . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Field 22: Approach . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Field 23: Non-Technical Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Field 24: Keywords . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
Signature Blocks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
AD-417 Detailed Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Form AD-417 - Research Work Unit/Project Description - Classification of Research . . . . . . . .
Reporting Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Fields 25-27: Basic Research, Applied Research, Development Effort . . . . . .
Fields 28-29 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Entering AD-417 Classification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Suggestions for completing the AD 417: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
The Research Classification Scheme . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Multidimensional Classification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Classification Percentages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Step 1. Selection of KA, Subject of Investigation, and Field of Science . . . . . .
Step 2. Assignment of Percentages . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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AD-419 Detailed Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
AD419 - Research Funds and Staff Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Request . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Project Checklist . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Consolidated CSREES OD-1088 Distribution of Appropriated Funds by Program18
National Summary of Non-Federal Institutions: Actual Funds and Scientist Years18
Reporting . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Data Update and Validation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
AD-419 Reporting Requirements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
CSREES Administrative Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Typical Reporting Mistakes: . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Special Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Indirect Costs for Grants and Cooperative Agreements . . . . . . . . . . . . . . . . . . 19
Employee Fringe Benefit Expenditures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 19
Grants and Sub-grants . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
Reporting Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Field 1: Accession Number . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Field 2: Agency Identification . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
Field 3: Three- or four-character Institution Code . . . . . . . . . . . . . . . . . . . . . . . 22
Field 5: Work Unit/Project Number . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Project Type (no field number) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Rounding Funds and Staff Years . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
Fields 201-205: CSREES-Administered Federal Research Fund . . . . . . . . . . . 22
Fields 209, 219, 308-318: Other Federal Research Funds . . . . . . . . . . . . . . . . 23
Fields 220-223: Non-Federal Research Funds . . . . . . . . . . . . . . . . . . . . . . . . 23
Fields 241-244: Non-Federally Employed Staff Support . . . . . . . . . . . . . . . . . 23
Entries . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
Administrative Projects . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
The AD419 vs the SF-269 and SF-272 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 26
AD-421 Detailed Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27
Form AD-421 - Progress/Termination Report . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Importance of Progress Report Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Reporting Instructions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Progress/Final Technical Reports for CSREES-funded Grant Projects . . . . . .
Termination Reports . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Period Covered . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Progress Report Content . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Graduate Student Years . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Impact . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Publications . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

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Introduction
Introduction to the Current Research Information System - CRIS
CRIS is the Cooperative State Research, Education, and Extension Service (CSREES) automated system
for storing and retrieving information on current research in the agricultural and forestry sciences. Sources
include:
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USDA (United States Department of Agriculture),
SAES (State Agricultural Experiment Stations),
forestry schools,
land grant institutions of 1890 and Tuskegee University,
schools of veterinary medicine, and
other institutions receiving CSREES awarded grants

All research sponsored or conducted by the USDA is required to be documented in CRIS. Cooperating
non-Federal institutions voluntarily report all non Federal research projects as well.
Over 95 percent of all publicly supported agricultural and forestry research is documented in CRIS, and
the system contains both management and scientific data. The current database consists of more than
30,000 research projects.
The basic unit for reporting research is the research project or research work unit. A research project is
defined as an activity at a single location that addresses a clearly definable problem, a sizable part of a
larger problem, or a number of closely related elements of a logical and manageable problem. A location
is a duty station where the funding and the scientist responsible for the project are assigned. Normally, a
research project will not exceed five scientist years of effort.
Data from non Federal institutions are submitted to CRIS via four electronic forms:
Research Resume
Classification of Research
Research Funds and Staff Support
Progress Report

AD-416
AD-417
AD-419
AD-421

CRIS Project Management System
The "Project Management System" is the CRIS database system designed to track all projects during
processing and is the method by which the unique accession number is assigned to each project. Project
information is permanently maintained in the management system.
The Project Management System ensures an up-to-date method of determining project status in the
project processing, review, and approval procedures. The Management System can be searched by any
data field listed on the AD 416/417 forms, and includes the following information:
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process date
date sent to review group
group assignment/date of group assignment
reviewer assignment/date of reviewer assignment
reviewer action/date of reviewer action
date returned to CRIS
date project completed and sent to project records office

Information Services
USDA research agencies, State research institutions, and researchers use CRIS technical data to:
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help prevent duplication,
access up-to-date information in their areas of expertise,
make contacts with other scientists doing similar research, and
answer Congressional and other legislative requests.

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The CRIS database is available for online access via CRIS Website at:
http://cris.csrees.usda.gov/
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CRIS fiscal data are a valuable resource for Federal and State research administrators,
managers, planners, and scientists.
CRIS provides the only readily available source of detailed data on publicly supported agricultural
and forestry research.
At the Federal level, CRIS data are primarily used to plan programs and budgets, track resources
in specialized research areas, and to answer legislative and executive branch questions.

Information services are provided at no charge to scientists and managers at participating USDA and
State institutions. Retrievals are conducted for client institutions by the CRIS staff. Requests are accepted
via e-mail at:
[email protected]

Form AD-416: Research Resume
Submitted at a project's inception or revision, the Research Resume includes:
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project identification
project status
title
integrated activity
performing organization
cooperating departments
multi-state project number
cooperating states
investigator names
project contact
funding type
grant award information
start date
estimated termination date
objectives
approach
non-technical summary
keywords

AD-417: Classification of Research
Classification procedures are specified in the Manual of Classification of Agricultural and Forestry
Research.
Mandatory categories are:
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basic, applied, and developmental;
Knowledge Area (KA);
subject of investigation; and
field of science

This form is submitted at a project's inception or revision.

AD-419: Research Funds and Staff Support (Non Federal Institutions)
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The AD-419 is used to report funds and staff support on individual research projects.

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This form is filed for each Federal fiscal year (October 1 to September 30).

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CRIS maintains a fiscal history database, which includes information on funds, staff support, and
classification data from previous fiscal years.

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Specific instructions for preparing the AD 419 can be found in the Manual for Preparing CRIS
Form AD-419, Research Funds and Staff Support, for State and Non Federal Institutions.

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AD-421: Progress Report
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Progress reports and citations to publications are submitted annually for all active
projects.

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Institutions have the option of reporting on either the calendar year or the Federal fiscal
year.

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A final summary report detailing the history of the project is required when the project is
terminated.

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A progress history database includes all previous progress or publication data for each
active project.

CRIS Forms Assistance Program - Web Forms
CRIS data must be submitted electronically via the Web Forms site at:

http://cwf.uvm.edu/cris/

Submitting projects electronically via CRIS Web Forms:
The following procedures must be observed by State Cooperators:
1. The institution will provide CSREES with a one-time written statement stipulating that all project
documentation, for both new and revised projects submitted electronically, may be considered to
have been approved by the director or authorized designee. The names of all officials with
approval authority shall be included as part of the statement. Statements should be forwarded via
surface mail to:
Current Research Information System
USDA/CSREES/ISTM
1400 Independence Ave., S.W.
Stop 2270
Washington, DC 20250
2. The electronic forms will include the approving official's name, title, date of approval, and an
indication that a signed copy of the form is on file.
3. The institution must agree to retain the original signed documents in their files for at least three
years after termination for audit purposes.
4. After review and approval by CSREES, the following documents will be returned to the cognizant
institution for retention:
A. Simulated CRIS Forms AD 416/417 with the signature of the reviewing CSREES official and
the date of approval.
B. An original CSREES Form 166 (Project Review and Comment Sheet) with the signature of the
reviewing CSREES official and the date of approval.
C. A simulated CSREES Form 2008 (Assurance Statement) with the signature of the reviewing
CSREES official and the date of approval.
5. CSREES will retain copies of the documents specified in item 4 in the project records office for
one year following termination of the project.
Please contact the CRIS office for further information.

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Research Project Requirements
(Please refer to the appropriate Administrative Manual)
All project information and/or changes should be submitted electronically via the CRIS Web Forms site.
Requirements for:
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CSREES Formula Funded Projects
Non-Federal (State) Projects
CSREES Grants and Cooperative Agreements

CSREES Formula Funded Projects - Hatch, Hatch Multistate, McIntireStennis, Evans-Allen, Animal Health
A. To establish a new formula funded project:
1. Completed AD-416/417 Forms
2. CSREES Form 2008, Assurance Statement
3. Project Outline (not required for Multistate projects)
B. To extend a formula funded project:
1. A one time, one year, extension is allowed without reviewer approval. Subsequent extensions
require written justification and reviewer approval.
2. Extensions for Multistate projects are determined by the Multistate Office and are extended by
notification to CRIS. If the Multistate Office terminates a Multistate project, the performing
organization has the option to extend the project for one year using regular Hatch funds. The
CRIS office should be notified if discrepancies occur.
C. To revise a formula funded project:
1. Completed AD-416/417 Forms
2. CSREES Form 2008, Assurance Statement
3. Project Outline (not required for Multistate Projects)

CSREES Grants and Cooperative Agreements
A. To establish a New Grant/Cooperative Agreement Project:
1. Completed AD-416/417 Forms
It is essential that all grants and cooperative agreements be fully documented in CRIS. To
ensure compliance, CSREES procedures require the receipt of completed CRIS forms AD416 and AD-417 in the CRIS database before the release of funds. At the time of the award
notification, grantees will be advised by the CSREES program manager of their responsibility
regarding CRIS documentation.
B. To extend a Grant or Cooperative Agreement:
1. Follow procedural guidelines established by the grant program office.

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Non-federal (State) Projects
A. To establish a new State Project:
1. Completed AD-416/417 Forms
B. To extend a State Project:
Extensions for State projects should be should be submitted via a change file using CRIS Web
Forms.
C. To revise a State Project:
1. Completed AD-416/417 Forms

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Processing, Review, and Approval Process
CSREES Formula Funded Projects
1. State Cooperator
Submits project to CRIS via Web Forms
2. CRIS Data Management Unit
Retrieves project data from Web forms
Loads project data into CRIS database via Project Management System
Prints AD-416/417/662 forms
Insures documentation is complete
Provides follow up if necessary
3. CRIS Data Management Unit
Assigns project to review group
Adds project tracking information to Project Management System
Prints review and comment forms
Assembles folder
Forwards folder to review group coordinator
4. CSREES Group Coordinator
Assigns project to reviewer via web tracking system
5. CSREES Project Reviewer
Approves or defers project
Returns project to group coordinator
6. CSREES Group Coordinator
Logs project review information via web tracking system
Returns project folder to CRIS office
7. CRIS Data Management Unit
Logs project as complete via web tracking system
Returns copies of approval documentation to State Cooperator
Forwards project folder to Central File (CSREES)
8. CRIS Systems Management Unit
Updates CRIS Web Site with current database (weekly)

CSREES Funded Grants
1. Grantee
Submits AD-416/417 forms to CRIS via Web Forms.
2. CRIS Data Management Unit
Retrieves project data from Web Forms
Loads project data into CRIS database as PENDING**
Prints AD-416/417 forms

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3. Grants Office
Provides CRIS with data file of grant award information
4. CRIS Data Management Unit
Processes data file and crossloads grant award information into the CRIS database. Extension
or renewal information is entered into CRIS upon notification from the CSREES Grants Office.
Removes pending status grant award information is complete in CRIS.
Provides copies of AD 416/417 forms to OEP and Grantee
5. CRIS Data Management Unit
Requests Final Technical Reports from Grantee (Monthly)
Updates CRIS database with Final Technical Reports (Daily)
Provides Final Technical Reports to OEP and NRI (Monthly)
6. CRIS Data Management Unit
Requests Progress Reports and Financial Data (Annually)
Updates CRIS Database with Progress Report information (Daily)
**PENDING grant information is not available to the public via the CRIS web site.

State Projects
AD-416/417 Forms for new State projects are assigned a CRIS Accession Number upon processing into
the CRIS Project Management System. Information copies of the AD-416/417 forms are returned to the
partner institution.

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AD-416 Detailed Instructions
Form AD-416 - Research Resume
Reporting Instructions
Each field or data item on form AD 416 is identified by a number or name. These instructions are keyed to
those numbers and names.
Field 1
Field 2
Field 3
Field 5
Field 6
Field 7
Field 8
Field 9
Field 10
Field 11
Field 12
Field 13
Field 14
Field 15
Field 16
Field 17
Field 18
Field 19
Field 20
Field 21
Field 22
Field 23
Field 24

Date
Accession Number
Agency/Institution Type
Institution Code
Work Unit/Project Number
Status
Project Title
Integrated Activity
Performing Organization
Cooperating Departments within Performing Institution
Multistate Project Number
Cooperating States - non-multistate projects
Investigator Name(s)
Project Contact
Project Type
Contract/Grant/Agreement No.
Amount
FY
Award Date
Start Date
Termination Date
Objectives
Approach
Non-Technical Summary (situation or problem / purpose)
Keywords
Signature Blocks

Date
Date: Will be inserted via Web Forms.

Field 1: Accession Number
Leave blank if submitting a new project. The accession number is the unique CRIS control number and
will be assigned by the CRIS office. Enter existing accession number if submitting a revision.

Fields 2 - 3: Agency Identification
The agency identification identifies up to three levels of organizational structure for the contributing agency
or institution.

8

Field 2: Agency/Institution Type
Restrictions: Field 2 is the three- or four-character code for the funding agency or type of organization.
CSREES
CSVM
OCI
SAES

Cooperative State Research, Education, and Extension Service - Projects funded
by CSREES Formula Programs or CSREES funded grants.
Cooperating Schools of Veterinary Medicine Projects funded by State
appropriations or other non-CSREES sources.
Other Cooperating Institutions Projects at Forestry Schools and Land Grant
Schools of 1890 or Tuskegee University funded by State appropriations or other
non-CSREES sources
State Agricultural Experiment Station Projects funded by State appropriations or
other non-CSREES sources.

Field 3: Institution Code
Field 3 is the designated three- or four-character Institution code. With the exception of State Agricultural
Experiment Stations, the last character in the code denotes the following:
X
Y or Z
V
K, R, or W

1890 Institution or Tuskegee University
School of Forestry
School of Veterinary Medicine
A public or private institution or a land grant institution where the college or
department of the principal investigator is not affiliated with the SAES,
1890/Tuskegee, Forestry, or Veterinary Schools.
•
•
•

"K" used only with the Small Business Innovation Research Grant Program.
"R" used only with the NRI Competitive Grants Program.
"W" used only for grants other than NRI Competitive Grants or Small
Business Innovation Research Grants.

Field 5: Work Unit/Project Number
C

Enter the Work Unit/Project No., composed of up to 20 characters without punctuation, always
containing your institution code (e.g. LAB or WNP), and, depending on your institution's own
convention, may include a " " or a "0" (e.g. VT or IOW0).

C

All project numbers must be unique.

C

When entering a new AD-416, if you are not normally the one to assign this number, enter your
last name after your institution's prefix.

C

Restrictions: The project number must not exceed 20 characters and should follow local coding
conventions for projects with the exception that the project number must be prefixed with a
variation of the three or four character institution code (field 3) to ensure a unique identity across
all stations.

example: ILLU-12-0320

Field 6: Status
A=
C=

NEW Projects submitted for approval.
REVISED Projects - projects that have exceeded their termination date and a revision is
requested.

For information, CRIS uses the following status codes:
F=
A=
B=
C=
E=

Pending
New
Extended
Revised
Terminated

9

Field 7: Project Title
C

Titles are limited to 140 characters, including symbols and spaces.

C

Do not use phrases such as "research on", "investigation of," etc.

C

Quotation marks and underscoring are not acceptable.

C

NOTE: Multistate Research project titles must be entered exactly as approved by the Multistate
Research Office.

C

The title will be used in information retrieval searches and to construct the project classification
table.

Integrated Activity
This optional field can be used by the site to identify activities which qualify as "integrated" according to
the following CSREES guidelines:
For Formula Funded projects:
Integrated activities mean jointly planned, funded, and interwoven activities between research and
Extension to solve problems. This includes the generation of knowledge and the transfer of
information and technology.
For Grants:
Integrated means to bring the three components of the agricultural knowledge system (research,
education, and extension) together around a problem area or activity.

Field 8: Performing Organization
Performing organization for State partner institutions will be automatically entered via Web Forms.
Non-cooperating institutions should enter complete mailing address of the organization/institution
performing the research.

Field 9: Cooperating Departments within Performing Institution
Select or enter performing institution departments cooperating in the research.

Field 10: Multistate Project Number
The Multistate project number identifies projects supported by Multistate Research funds, or those formally
on record as contributing to a Multistate research project. This number combines the region (NE, NC, S,
IR, or W) and the project number.
examples:
NC-205
W-187
The multistate region and number must be left blank for non-multistate projects.

Field 11: Cooperating States-non multistate projects
Identify any OTHER STATES that are participating in the same research project. Include only states that
are significantly contributing to the research effort on this project. Fill this in for non-Multistate Research
Projects only.

10

Field 12: Investigator Name(s)
A total of 12 can be listed. List the Principal Investigator on Line 1. Lines 2 through 12 are used for coinvestigators. Use upper/lowercase as customary for proper names.
example:
Brown J R
Johnson III J R
Smith Jr A C

Field 13: Project Contact
The project contact should be a person or office that would best answer questions about research issues
which may potentially be controversial. Sites may prefer to identify the contact for some or all projects as
the Director's office or Public Relations office and not the principal investigator.
If applicable, include a URL that is complete and project specific.
example: http://cwf.uvm.edu/cris/

Field 14: Project Type
Code
A
C
G
H
K
M
O
P
S
T

Description
Animal Health
NRI Competitive Research Grants
Special Grants
Hatch
Small Business Innovation Research Grants
McIntire-Stennis
Other Grants - (not listed above)
Cooperative Agreement
State
Evans-Allen

NOTE: State projects are research projects funded from sources other than the Cooperative State
Research, Education, and Extension Service.

Fields 15 - 18
For USDA Contracts, Grants, Cooperative Agreements:
Field 15: Contract/Grant/Agreement No.
"NOT YET AWARDED" must be entered.
Proposal No.
Enter proposal number exactly as provided by CSREES Grant Office.
example: 200X-01234
Field 16: Amount
Leave blank.
Field 17: FY
Leave blank.

11

Field 18: Award Date
Leave blank.

Field 19: Start Date
Enter date research will begin.
example: 05/01/2002
Leave blank for grants or cooperative agreements.

Field 20: Termination Date
Enter the Estimated Termination Date for the project.
example: 04/30/2007
Leave blank for grants or cooperative agreements.

Field 21: Objectives
C

Enter a clear, concise statement of the objectives of the research, which should be specific and
attainable within the duration of the project using the resources available.

C

Certain characters can be a problem with certain browsers.

C

Remember that you can paste in text from your word processor or other document.

C

For Multistate Research Projects, enter the objective(s) exactly as defined in the multistate project
outline.

C

Restrictions: Not to exceed 3200 characters.

Field 22: Approach
C

Describe the ways in which the research is to be conducted, with emphasis on the scientific
methods and any unique aspects or significant departures from usual approaches.

C

Certain characters can be a problem with certain browsers.

C

Remember that you can paste in text from your word processor or other document.

C

Restrictions: Not to exceed 3200 characters.

Field 23: Non-Technical Summary
This information is designed to enhance the usefulness of the CRIS database, especially to legislative and
other public audiences. Follow the instructions given by the granting agency regarding this summary.
Address both the SITUATION that creates a need for this research and the PURPOSE of this project.
The SITUATION or PROBLEM the project addresses.
example:
Dietary deficiencies of individual essential amino acids have been shown to vary in their effects on
growth, organ weights, thyroid function, and efficiency of energy utilization in growing chickens.

12

The PURPOSE of the project.
example:
The extent to which individual amino acids produce these effects and the dietary levels at which the
effects are observed are being studied.
Restrictions: Not to exceed 1600 characters.

Field 24: Keywords
The assignment of appropriate keywords is aimed at improving retrieval of project information.
Collectively, the keywords for a given project should resemble an abbreviated abstract of the project
narrative.
Choose keywords that describe the nature of the study at the following three levels:
General Entry - Refers to overall objectives in the major fields of interest or disciplines. Select at least
two general entry keywords.
example:
HARVESTING
MECHANIZATION
Class Entry - Refers to classes or categories of subjects or items, and to moderately broad concepts or
areas of interest which conceptually group the specific entry keywords into like classes. Select at least four
class entry keywords.
example:
MECHANICAL ENGINEERING
EQUIPMENT
HARVESTING LOSSES
CROP DAMAGE
Specific Entry - Refers to the most specific concepts, subjects, or items under study. It includes the
specific plant, animal, or microorganism; the specific equipment, processes, approach, technique, or
system; and specific properties, reaction or function. Select at least six specific entry keywords.
example:
POTATOES
MECHANICAL HARVESTING
HARVESTING EQUIPMENT
BULK HANDLING
SKINNING
BRUISING
C
C
C
C
C
C
C
C
C

A convenient rule of thumb is the "2-4-6" formula - two general terms, four moderately broad or
class terms, and six specific terms.
A minimum of 12 keywords averaging 15 characters each, including one space between each
keyword, would result in a total character count (192) well within the maximum allowed (345
characters and spaces).
Use one keyword/phrase per line; do not use hyphens to link phrases; limit to 20 lines
To promote effective retrieval, the number of keywords assigned to a project should range
between 10 and 15.
The total number of keywords submitted on a project should not exceed 20.
The maximum length of a keyword, including hyphens in a multiple word entry, is 30 characters.
Generally, keywords should be limited to one word terms (e.g., BRUISING SKINNING) or two
word terms (e.g., BULK HANDLING CROP DAMAGE). Use of three word terms (e.g., PLANT
DISEASE CONTROL) is acceptable but should be minimized.
Phrases and sentences are unacceptable as keyword entries.
Keywords may be chosen regardless of any overlap with classifications on Form AD-417.
Subjects of investigation KAs may be reflected in the keywords, provided they emphasize,
delineate, or define the nature of the study.

13

Signature Blocks
CRIS maintains a file of authorized signature designees. Electronically submitted forms are verified by
policy of signed copies of AD-416/417 forms will be maintained at the originating organization for three
years after termination of the project for audit purposes.

14

AD-417 Detailed Instructions
Form AD-417 - Research Work Unit/Project Description Classification of Research
Reporting Instructions
Each field or data item on form AD 417 is identified by a number or name. These instructions are keyed to
those numbers and names.
Field 25
Field 26
Field 27
Field 28
Field 29
Fields 30-39

Basic Research
Applied Research
Development Effort
Forestry Percent
Animal Health Percent
Classification by Knowledge Area, Subject of Investigation, and Field of Science
Guide to Classification
The Research Classification Scheme
Multidimensional Classification
Classification Percentages

Fields 25-27: Basic Research, Applied Research, Development Effort
Percentages entered in the three fields -- Basic Research, Applied Research and Development Effort -must total 100. Enter whole numbers only. One project rarely contributes to all three fields.
Basic Research
Research that has a primary goal of gaining fuller knowledge or understanding of a subject.
Applied Research
Research that has a primary goal of the practical application of knowledge to meet a recognized need.
Development Effort
Research findings to produce useful materials, devices, systems, or methods.

Fields 28-29
Field 28: Forestry Percent
Field 29: Animal Health Percent
Enter the percentage for Forestry/Animal Health Component.
If the project is funded by McIntire-Stennis or Animal Health programs, the Forestry or Animal Health
component will automatically be assigned 100%.
You can optionally assign percentages to these categories up to 100% each for projects funded by other
sources.
Fields 30-39: Classification by Knowledge Area, Subject of Investigation, and Field of Science

Entering AD-417 Classification
The most important thing to remember about the AD-417 Classification process is the purpose of assigning
these codes to your project: funding reports to Congress are based on this classification. In order to
summarize funding in your area of research correctly, projects must be classified appropriately. Projects
must be classified according to the Manual of Classification of Forestry and Agricultural Research.

15

Suggestions for completing the AD 417:
Enter the Classification by Knowledge Area (KA), Subject of Investigation, and Field of Science. You can
complete the Classification table one of several different ways:
1. Using a printed manual or the online manual available at the CRIS Web site, determine which
options apply to the project and enter the numeric codes and percentages in the table.
2. Use the column heading links at the CRIS Web Forms site to view the list of options and enter the
appropriate numeric codes and percentages in the table. You may find it helpful to print a blank
form to jot down your choices.

The Research Classification Scheme
All projects entered in CRIS must be classified to the classification elements without exception. In most
cases, project classification on Form AD-417 is the responsibility of the organizational unit most closely
identified with the research. The classification is described briefly below and is detailed in individual
sections which follow. The classification elements consist of three series of broad classifications:
1. Knowledge Area (KA) (Table A)
2. Subject of Investigation (Table B)
3. Field of Science (Table C)
Each project in CRIS must be assigned at least one code from each of the three series of classifications.
To allow for identification of multiple objectives of a research project, a maximum of ten (10) codes from
each of the three series is permitted on a single project. Classifications are entered in fields 30-39 on Form
AD-417.
Table A: Knowledge Area (KA) -- An important and highly useful series of research classifications is the
classification by KA. The 79 KA's comprising the classification are arranged in nine topic areas. KA codes
are entered in column 1.
Table B: Subject of Investigation -- This series provides an additional facet for research classification. It
is generally the object of the research; e.g., the class of plant, animal, organism, material, process,
procedure, etc., under investigation. Subject of Investigation codes are entered in column 2.
Table C: Field of Science -- This classification lists the disciplines involved in conducting the research. It
consists essentially of a modified version of fields of science used by the National Science Foundation for
various government wide reports. A number of disciplines were added by the CRIS Enhancement
Committee in 1998. Field of Science codes are entered in column 3.

Multidimensional Classification
The selection of classification codes on individual projects is based on a three-part, multidimensional
scheme which requires one code from each of the three series of classifications (KA, Subject of
Investigation, and Field of Science) to be entered in the same field or line of classification on Form AD417.
Specifically, for each KA coded in column 1 in fields 30-39, there must be a corresponding code for Subject
of Investigation in column 2, and Field of Science in column 3.
A maximum of ten (10) lines of classification is permitted on a single project.

Classification Percentages
In classifying projects, each line of classification must be assigned a percentage (weighted) to indicate the
portion of effort on the project directed to each KA-Subject of Investigation-Field of Science combination.
Classification Procedure - Fields 30 - 39

Step 1. Selection of KA, Subject of Investigation, and Field of Science
C

First, review the titles of the KA's and select the KA which best describes the project. Some
projects may require more than one KA.

16

C

Second, review the detailed description(s) of the KA(s) to confirm your selection.

C

Then, for each KA you select, enter the KA code in the KA column (column 1). See Figure 1.

C

For each KA in column 1, enter one or more Subject of Investigation codes in the Subject of
Investigation column (column 2). If more than one Subject code is entered, then the corresponding
KA code must be duplicated on the applicable line.

C

For each KA-Subject of Investigation combination, enter one or more Field of Science codes in the
Field of Science column (column 3). Enter the corresponding KA and Subject codes on the
applicable lines if needed.

C

Repeat Step 1 to enter additional KA's.

C

See Figure 1 for an example of a partially completed classification table.

Figure 1 - Classification Table
Classification by Knowledge Area, Subject of Investigation, and Field of Science
Knowledge Area
30.
31.
32.
33.
34.
35.
36.
37.
38.
39.

Code (1)
203
203
211
211

Subject of
Investigation
Code (2)
1540
1550
1540
1550

Field of Science

Percent Effort

Code (3)
1080
1080
1080
1080

% (4)
50
20
20
10

Step 2. Assignment of Percentages
C

Percentages are assigned to each line of classification; that is, to each unique KA-Subject of
Investigation-Field of Science combination. Percentages are assessments of time, money, and/or
material, each expressed as a percent of the whole, which may be allotted to each listed
combination.

C

For projects containing only one line of classification, the percentage will always be 100.
Otherwise, individual percentages will vary, depending on the number of lines of classification and
relative weight given to each KA-Subject of Investigation-Field of Science combination.

C

Percentages must be expressed as whole numbers, not as fractions or decimals, and each must
be NOT less than 10 percent.

C

When the individual percentages are correctly assigned, the sum of all percentages in column 4,
fields 30 39, will equal 100.

C

A maximum of ten (10) lines of classification is permitted on a single project.

17

AD-419 Detailed Instructions
AD419 - Research Funds and Staff Support
Process
The AD-419 is used to report Federal and State expenditures and unliquidated obligations, disbursements
on grants and cooperative agreements, and staff support for individual research projects. Report all
funding expenditures for project activities on the AD-419, regardless of the source. The reporting period is
the Federal fiscal year -- October 1 through September 30.
AD-419 data are due at CRIS by February 1.

Request
To facilitate the reporting process, the request for the AD-419 report is sent out to each State partner
organization after the end of the Federal Fiscal Year (by mid-October).
The AD-419 request letter is forwarded via email, along with the instructions for submission of the AD-419
report data.

Project Checklist
The AD-419 Project Checklist includes projects that were active within the fiscal year being reported. The
Checklist is available for each State partner institution at the CRIS Web Forms site.

Consolidated CSREES OD-1088 Distribution of Appropriated Funds by Program
The OD-1088 report shows allocations of CSREES formula funds for the fiscal year, and is available from
the CRIS Office in Excel format upon request.

National Summary of Non-Federal Institutions: Actual Funds and Scientist Years
This summary report shows data reported the previous fiscal year for comparison with the current year's
data, and is available from the CRIS Office upon request.
General Reporting Information

Reporting Media
Data must be submitted electronically (Internet via CRIS Web Forms or Excel spreadsheet via email
attachment). An Excel template is available from the CRIS Office upon request. Please note that
comments should not be included on the Excel spreadsheet.
Each individual project requires a separate AD-419 report that includes each source of funds and type of
staff support for the project. Do not submit total fields (231, 232, 233, 234, 350). Do not submit zero
amounts or negative entries.
A summary AD-419 reflecting totals for each funding category and for each staff year category will be
returned to the reporting organization for verification.

18

Data Update and Validation
AD-419 data are subject to a rigorous validation. Several verification reports are generated and any
obvious problems will be corrected by the CRIS Staff. Other problems listed on the verification reports are
forwarded to the reporting organization for clarification and reconciliation.
Revised data files will be accepted as necessary. Minor discrepancies can be addressed via email or
telephone to provide adjustments to individual amounts.

AD-419 Reporting Requirements
If funds were expended on a project during any part of the fiscal year, an AD-419 report should be
completed for the project if the total expenditure is at least $100.00. Do not submit reports where the total
funds reported are less than $100.00.
Report expenditures and unliquidated obligations for formula funds (Hatch, Multistate, McIntire-Stennis,
Evans-Allen, Animal Health) and disbursements for contracts, grants and cooperative agreements. Funds
reported should be rounded to the nearest whole dollar amount.
Report only the portion of funds on a grant or cooperative agreement actually disbursed during the fiscal
year. Do not report the face amount of a grant or cooperative agreement unless the entire amount was
actually expended within the Federal fiscal year.

CSREES Administrative Projects
Funds and support years cannot be reported on CSREES Administrative projects and will not be accepted
in CRIS. Administrative costs must be prorated to all appropriate research projects by the institution before
posting AD-419 amounts for individual projects.

Typical Reporting Mistakes:
C
C
C
C
C
C
C
C
C
C

Using negative amounts
Not rounding to whole dollars
Changing Excel template
Duplicate project numbers
Duplicate accession numbers
Funds entered in incorrect/inappropriate field
Accession number/station code mismatches
Accession number/project number mismatches
Field reported more than once for the same accession number
Leading zeroes missing in accession number

Special Issues
The following procedures represent the CSREES preference and are the accepted current practice at most
institutions for managing the indicated situation.

Indirect Costs for Grants and Cooperative Agreements
Funding for a portion of the research program at each institution comes from grants and cooperative
agreements. Many grants include funds to cover indirect costs. Indirect-cost charges are intended to
reimburse the institution for use of physical facilities; use of library facilities; and use of accounting,
purchasing, and other central services not billed directly. They are usually considered legitimate expenses
of research and can be charged to the grant or cooperative agreement. When charged to the grant or
cooperative agreement these charges should be included in the amount reported on the AD-419. Refer to
grant award documents for specific information regarding the reporting of indirect costs.

Employee Fringe Benefit Expenditures
The cost of employee benefits for all staff support reported on CRIS projects, as well as prorated
administrative and contract service/support accounts, should be included as expenditures on the AD-419.

19

These include employer contributions for Social Security, retirement plans, health plans, group life and
disability plans, and other payroll taxes paid by the employer.
If actual data for these expenditures are available from your institution, they should be included on the AD419. If not, you may need to prorate the costs to all projects reported to CRIS.
In many States, employee benefit expenses are charged to a central institution or State pool, and actual
expenditure data are not available. In theses cases, determine the average cost of employee benefits as a
percentage of salary for your institution. Either obtain the figure from the central unit responsible for
managing benefits, or use the rate that your institution suggests for developing grant applications. If neither
is available then possibly check rates with peer institutions - and based on that information determine a
reasonable rate to use in preparing your AD-419 amounts.
Once you have determined the rate as a percentage of salary costs, calculate the amount of employee
benefit costs to be added to the AD-419 expenditures as follows:
example:
Total Salary Expenditures on the projects = $750,000
Employee Benefit Rate = 26%
Estimated Employee Benefits Expense = ($750,000 x .26) = $195,000
Prorate the Estimated Employee Benefits Expense to individual projects based on either total expenditures
or salary expenditures using the most efficient method for your situation.

Grants and Sub-grants
When a CSREES awarded grant is split into one or more sub-grants, or passed though to another
institution by the original recipient, the CSREES procedure for reporting funding and staff support data to
CRIS is for the organization that was awarded the grant to aggregate the expenditures for all grant activities
and submit a single consolidated AD-419 report for the grant. If sub-grant institutions submit AD-419
reports for their sub-grant project, CSREES administered funds should NOT be reported on the AD-419.
On the AD-419 report, the original recipient of the grant should report the expenditures of the grant funds in
field 204.

20

Reporting Instructions
The AD-419 is a complex document so it is essential that instructions be followed closely. Each field or
data item on the AD-419 is identified by a field number and field name. The instructions are keyed to the
field numbers and names. Depending on the method of submitting AD-419 data, the entry of project
identifiers may or may not be required.
Field 1
Field 2
Field 3
Field 5
Field 7
Field 201
Field 202
Field 203
Field 204
Field 205
Fields 209, 219,
308-318
Fields 220-223
Field 241
Field 242
Field 243

Accession Number
Agency Identification
Three- or four-character Institution Code
Work Unit/Project Number
Project Title
Multistate Project Number
Project Type
Hatch funds
Hatch Multistate funds
McIntire-Stennis funds
CSREES grant and cooperative agreement funds
Evans-Allen Funds or Animal Health Funds
Other Federal Research Funds
Non-Federal Research Funds
Scientist Support
Professional Support
Technical Support
Entries must be reported to the nearest tenth of a person year.
Administrative Projects
The AD-419 vs the SF-269 and SF-272

Field 1: Accession Number
The accession number is the unique, seven-digit number assigned by CRIS. Zeros are padded to the left
of the number to reach seven digits. Each project is identified by its own unique accession number.
example: 0195620

Field 2: Agency Identification
The alphabetic/character agency abbreviation (identifier):
CSREES

-

SAES

-

OCI

-

CSVM

-

Cooperative State Research, Education, and Extension Service - projects funded by
CSREES sources
State Agricultural Experiment Station projects not participating in any CSREES
administered program or award
Other Cooperating Institution - projects not funded by CSREES sources at 1890
Institutions, Tuskegee University, and forestry schools
projects not funded by CSREES sources at Cooperating Schools of Veterinary
Medicine

21

Field 3: Three- or four-character Institution Code
Institution codes with the following characters in the fourth position designate a specific type of organization
or award:
X
Y or Z
V
K, R, or W

1890 Institution or Tuskegee University
School of Forestry
School of Veterinary Medicine
Public or private institution or a land-grant institution where the college or department of
the principal investigator is not affiliated with the SAES, 1890/Tuskegee, Forestry, or
Veterinary Schools.
•
•
•

"K"
"R"
"W"

used only with the Small Business Innovation Research Grant Program.
used only with the NRI Competitive Grants Program.
used only for CSREES-funded grants other than NRI Competitive Grants or
Small Business Innovation Research Grants.

Field 5: Work Unit/Project Number
This number identifies the project as assigned and maintained in the records of the reporting institution.
The project number is prefixed with a variation of the three-or four-character institution code (field 3) to
insure a unique identity across all stations.
Multistate Project Number (no field number)
The Multistate project number identifies projects supported by Multistate Research funds, or those formally
on record as contributing to a Multistate research project. This number combines the region (NE, NC, S, W,
NRSP, etc.) and the numeric portion of the project number.

Project Type (no field number)
Project types for CSREES funded projects are:
C
C
C
C
C
C
C
C
C
C

Hatch
Hatch Multistate
McIntire-Stennis
Animal Health
Evans-Allen
NRI grant
Special grant
Other grant
Small Business Innovation grant
Cooperative Agreement

Projects not funded by CSREES:
C

Project Type = State

Rounding Funds and Staff Years
C

Please submit funding data rounded to the nearest dollar.

C

Staff support fields should be rounded to the nearest tenth of a staff year.

Fields 201-205: CSREES-Administered Federal Research Fund
Field 201
Field 202
Field 203
Field 204
Field 205

-

Hatch funds
Hatch Multistate funds
McIntire-Stennis funds
CSREES grant and cooperative agreement funds
Evans-Allen Funds or Animal Health funds

22

Note: Fields 201 through 205 are mutually exclusive with the exception of 201/202 for approved Multistate
projects.

Fields 209, 219, 308-318: Other Federal Research Funds
These fields are used for reporting Federal funds administered by Federal agencies other than CSREES,
and for grants made by CSREES with pass-through funds from other agencies. Appropriate funding
amounts should be entered in these fields corresponding to the source of the funds. These categories may
be used by CSREES administered projects to report appropriate amounts for these fields making sure the
correct CSREES administered amounts are reported in fields 201 - 205.
Field 219: USDA Contracts/Grants/Cooperative Agreements
Field 219 is for reporting funds received from contracts, grants, or cooperative agreements with USDA
agencies other than CSREES. Do not use this field for any CSREES administered funds.
Fields 209 and 308-318: Other Federal Research Funds
These fields are for Federal departments or agencies outside the USDA that may finance work conducted
by or for the reporting institution. If funds from some other Federal source not listed on the AD-419 are
involved, or if reporting CSREES administered pass-through funds, enter the amount in field 318.
Field 318: CSREES Pass-Through Funds
These are funds received by CSREES from other Federal agencies, such as the Department of Energy,
Department of Defense, or other USDA agencies, through interagency agreements. These funds are
distributed through grants and cooperative agreements to non-federal institutions. Since these funds were
not appropriated to CSREES, they should not be reported in fields 201 - 205. Expenditures of CSREES
pass-through funds should be reported in field 318.

Fields 220-223: Non-Federal Research Funds
These categories may be used by CSREES administered projects to report appropriate amounts for the
indicated fields. Funds should be entered in these fields corresponding to the source. Do not use these
fields to report any CSREES administered funds.
C

Field 220 is for State appropriations.

C

Field 221 is for funds expended from self-generating accounts, such as the sale of products,
royalties, or interest.

C

Field 222 is for funds from contracts, grants, or agreements to the institution or grantee by
industrial organizations, corporations, commodity commissions, and firms; for example, grants from
food processors, manufacturers of containers, chemicals, machinery, equipment and fertilizer,
transportation companies, and power companies.

C

Field 223 is for funds from any other non-federal source not included in 220, 221, or 222 such as
local governments, professional societies, individuals, banks, etc.

Fields 241-244: Non-Federally Employed Staff Support
Field 241: Scientist Support
A scientist is a research worker responsible for original thought, judgments, and accomplishments in
independent scientific study. This includes the investigation leaders, project leaders, and portions of the
time of supervising scientists or staff assistants whose work meets the preceding definitions. Generally, the
individual holds an academic rank of assistant professor or above and is capable of holding principal
investigator status at the reporting institution. Outstanding graduate students with sound backgrounds of
professional accomplishments may thoroughly merit the responsibilities of a scientist. However, most
graduate students are rated as professional support.

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Administrative staff should be excluded unless they meet these requirements and are active participants in
the actual research of the project. It is important to report scientist years accurately, because this category
is frequently used in decision making.
Job titles for scientists include:
C professor
C associate professor
C assistant professor
C distinguished professor
C scientist
Field 242: Professional Support
A professional does not qualify as a scientist under the preceding definition, but nevertheless contributes to
research activities. Professionals usually hold one or more college degrees, and have otherwise qualified
for employment in a professional category. A few may hold a Ph.D. or equivalent degree, and may be in a
high-level academic position, but nonetheless may be categorized as a research assistant or research
support rather than as a research scientist. Graduate students may be categorized as professionals.
Generally, professionals have a high degree of research-activity responsibility but do not hold principal
investigator status at the reporting institution.
Job titles for professional support include:
C administrative assistant
C associate director
C department head
C instructor
C research associate
C resident director
C statistician
C programmer
C analyst
C director
C assistant director
C graduate assistant
C research assistant
C research specialist
C post doctoral fellow
C visiting professor
C fiscal officer
C editor
Field 243: Technical Support
Technical Support staff are associated with research efforts in a technical capacity and do not participate in
the investigative aspects of the research.
Job titles for technical support include:
C laboratory assistant
C mechanic
C laboratory technician
C draftsman
C research technologist
C farm foreman
C carpenter
C machinist
C skilled tradesperson
Field 244: Clerical, Labor, and Other Support
Generally, clerical support staff and other non-research staff contribute to the nontechnical support of the
research project. It may be difficult to accurately assess an individual's clerical and labor support to any one
project. Staff support members assist a group of researchers in a broad manner, such as a typing pool
might support a group of investigators in a department or school.
Job titles for clerical and labor include:
C administrative secretary
C maintenance repairman

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C
C
C
C
C
C
C

clerk
farm technician
typist
stenographer
farm worker
data entry
secretary

Entries
Entries must be reported to the nearest tenth of a person year.
C

If staff members within a single category or field collectively account for less than 0.05 staff year on
a project, make no entry for that category for that project. Enter staff estimates from 0.05 to 0.14
staff years as 0.1; enter 0.15 through 0.24 as 0.2, etc. Entries should be realistic.
For example, if it costs your institution approximately $150,000 to $200,000 to provide 1.0 scientist
year of research effort, do not enter 0.1 scientist year in field 241 for a $2000 to $3000 obligation.

C

All entries should represent the fraction of a staff's time actually spent on research-related projects.
For example, if a scientist's effort is split between teaching (40 percent) and research (60 percent)
duties, the total reported research effort for all research projects conducted by this scientist should
total 0.6 scientist years. All support should be made on a twelve-month basis. Appropriate
adjustments should be made for staff on nine- month appointments, graduate students on quarter-,
half-, or three-quarter research appointments, personnel employed less than a full year due to
termination or initiation of employment, and other factors influencing the total effort reported.

Administrative Projects
Documentation of administrative projects is not required for federally funded programs administered by
CSREES, but if administrative projects are documented they are identified by a single AD-417 classification
code line. The classification line will consist of 001 for Knowledge Area, 0001 for Subject of Investigation,
and 0001 for Field of Science. Do not submit an AD-419 for administrative projects. Instead, prorate
administrative costs to all appropriate research projects: McIntire-Stennis research administrative funds to
McIntire-Stennis research projects; Hatch administrative funds to Hatch projects, etc. Prorate all
administrative staff support (fields 241-244) to appropriate research projects. Even though charges to
CSREES approved administrative projects are prorated back to the appropriate research projects in the
CRIS system, you must be able to document charges to the approved administrative projects at your
institution for audit purposes.
Administrative and Central Service/Support Expenditures
It is important that all related administrative and general support costs be included on the AD-419 to
provide consistent data that accurately reflect the total funding and effort expended in support of agriculture
and forestry research. Administrative and support costs are not separately reportable in the CRIS system
but must be prorated to applicable CRIS projects.
Administrative Costs are centralized for administering the research programs conducted at State and other
non-Federal institutions. Costs can include salaries, wages, employee benefits, goods and services, travel,
equipment, or other allowable costs.
Support Costs are general costs of research and auxiliary activities not directly attributed to specific
projects. Examples are costs of maintaining plots when not being used for research, and general costs of
maintaining dairy, beef, and swine herds, or flocks of poultry for research. Include and prorate generalized
farm operational costs, maintenance costs for plant growth and greenhouse facilities, computer and
statistical support departments, and other service units.
When budgeting, you are encouraged to allocate as much as possible to the research projects, thereby
minimizing the amounts budgeted to and expended for administrative and support activities.
Procedures for Prorating Administrative and Central Service/Support Expenditures
Administrative and central service/support expenditures may be prorated back to regular research projects
by computing an adjustment factor for each AD-419 financial field. These factors are then used to adjust

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the original AD-419 entries. If staff years are reported under administrative or central support projects, they
should also be prorated using the same factors.
This procedure is not required, but represents a straightforward approach. Depending upon the amount of
time and resources available, States may wish to prorate administrative costs for running the research
director's office to all projects; prorate department administrative costs only to projects within the
department; and prorate support costs to the various user projects (for example, cost of maintaining dairy
herd to all dairy projects). Regardless of approach, you must also use the same process to prorate staff
years utilized in administrative and centralized support categories to CRIS projects.

The AD419 vs the SF-269 and SF-272
C

The AD-419 is a research fund and staff support document used to report Federal and State
expenditures, unliquidated obligations, and disbursements on grants and cooperative agreements
by research project.

C

The SF-269 is a financial status document used to report outlays and unliquidated obligations on
CSREES formula- funded programs.

C

The SF-272 is a financial status document used to report quarterly disbursements on CSREES
grants, cooperative agreements, and formula-funded programs.

The AD-419 is used for research planning and is not an auditable document. The SF-269 and SF-272 are
official fund accountability documents and are used for audit purposes.
You are encouraged to report all non-Federal funds obligated on the SF-269, including the excess
matching requirements for each program; however, reporting non-Federal funds in excess of the matching
requirements is not mandatory.
Report all funding expenditures for research, regardless of source on the AD-419. This is to insure
complete and accurate data are available to the Federal and non-federal partnership for program planning,
program management, and budget decisions. The totals for formula-funded programs on the AD-419
should be equal to the total Federal share of outlays and unliquidated obligations on the SF-269. AD-419
reports for grants and cooperative agreements should be equal to the total net disbursements reported on
the SF-272 during the fiscal year.

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AD-421 Detailed Instructions
Form AD-421 - Progress/Termination Report
Importance of Progress Report Data
CRIS progress reports (forms AD-421) are widely used by scientists, administrators, State and Federal
officials, and legislative offices. The CRIS technical database is available online to the public worldwide via
the CRIS Web site at: http://cris.csrees.usda.gov/
The quality and timeliness of the AD-421 report reflects strongly on the research, the investigator(s), and
the reporting organization, and can have a significant influence on State and Federal funding decisions
affecting research.
The AD-421 report includes progress, McIntire-Stennis Graduate Student Years (GSY), impact, and
publications.

Reporting Instructions
AD-421 Progress/Termination Reports must be prepared and submitted via the CRIS Web Forms site:
http://cwf.uvm.edu/cris/
The AD-421 report is used for reporting annual progress on active research projects and summary reports
for terminated (completed) projects.
Progress reports are requested annually in the month of October. State partner organizations have the
option of reporting annual progress reports on either the calendar year or the Federal fiscal year. Calendar
year reports are due on April 1 of the following year; Federal fiscal year reports are due on February 1 of
the following year.

Progress/Final Technical Reports for CSREES-funded Grant Projects
Final summary reports for terminated grants are due within 90 days after the specified termination date.
Grantees are notified when final technical reports are due.
Please refer to the grant “terms and conditions” for specific guidance with regard to the submission of
progress/termination reports.

Termination Reports
Be sure to select or mark “termination report” to insure that the project is properly identified for termination
in CRIS. Do not mark “termination report” if the project is to be extended or revised.

Period Covered
For annual progress reports, the reporting period dates should cover the period during the calendar year or
Federal fiscal year when the research was in progress.
C

Progress reports should be reported on an approximate one-year basis.

C

For termination reports, the dates should reflect the time frame (start and termination dates) for the
life of the project.

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Progress Report Content
The AD-421 Progress Report should summarize significant findings, results, accomplishments,
conclusions, and recommendations, and the explanations or reasons why these are meaningful. If
conclusions and recommendations are not available, report the present stage of achievements. Statements
must be appropriate to appear without change in published sources. Do not exceed 3200 characters,
including punctuation and spaces.
Patents and Inventions: Disclosure statements should be made via the annual CRIS form AD-421
Progress report. If applicable, enter the following information at the end of the progress report.
1. If a patent has already been issued, provide the patent number and the issue date.
2. If a patent has been applied for but not yet issued, provide the patent application serial number and
the filing date.
3. If disclosure information has not been submitted in a prior report, please include on the current
report.

Graduate Student Years
For McIntire-Stennis projects, enter the number of Graduate Student Years (GSY) associated with the
project based on one year.
examples:

1.0

0.5

This information is used to conduct analyses based on graduate student support relative to McIntireStennis funding.

Impact
Provide a brief non-technical summary of the expected impact of this research in 1600 characters or less
(including punctuation and spaces). Summarize the project's economic, environmental, and/or social
IMPACT. Use full sentences and non-technical language. Impact statements should answer the questions,
“What difference does it make and to whom? and What's the benefit?”
examples:
EXAMPLE A. House flies and stable flies are insects of great medical and veterinary importance.
Studies on the microbial ecology of house flies may lead to the development of novel control strategies
for these insect pests. Analysis of antibiotic resistance of enterococci will offer new insights into the role
of house flies in the ecology of antibiotic resistance genes. Stable flies are the most important insect
pests of cattle on pastures in the United States. Currently, there are no effective methods for
management of stable flies in this environment. Boric acid appears to be a very effective management
tool for stable fly larvae developing on pastures.
EXAMPLE B. This research documents that selection can be used to develop ewes that are capable
of rebreeding while lactating in spring. Access to such animals is required to make systems of
accelerated lambing (e.g., the production of three lambs crops every 2 years) practical. The current
results also further documents that ewes in this selection line appear to have a strongly abbreviated
seasonal anestrus and may serve as a model for further study of genetic factors controlling seasonality
in sheep and other species. Testing of various hair sheep crossbred types will provide information on
strategies to develop "easy-care" sheep germplasm in order to reduce costs of lamb production.

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Publications
List significant publications issued during the progress report period. You must include, in this order: (1) the
authors names, (last name and initials as in the example); (2) the 4-digit year of publication; (3) the title of
the work; (4) the location of the information (e.g., Mycol. Soc. Amer. 41(1):24).
example:
Wu, J., and A. J. Plantinga. 2003. The Influence of Public Open Space on Urban Spatial Structure.
Journal of Environmental Economics and Management 46(2):288-309.
Do not number the publications. Do not enter the authors in all capital letters. Citations are not limited in
length or number, but MUST be separated by a blank line and must include the year of acceptance or
publication! Include only publications that have not been submitted previously. If there are no new
publications for the reporting period, leave this field blank

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