Grant and Coop Agreement Guide

Fiscal Year 2023
VS Field Operations Grants and
Cooperative Agreements Guide

Recipient Guidance
and
Application Information

Table of Contents
INTRODUCTION ..................................................................................................................................................................... 4
SECTION 1: GENERAL GUIDANCE ......................................................................................................................................... 4
Eligible Applicant Requirements ....................................................................................................................................... 4
Period of Performance ...................................................................................................................................................... 5
Cost Guidance.................................................................................................................................................................... 5
Cost Sharing and Matching............................................................................................................................................ 5
Unallowable Costs ......................................................................................................................................................... 6
Publications and Audiovisuals (Outreach Materials) .................................................................................................... 6
Laboratory Equipment................................................................................................................................................... 6
Information Technology ................................................................................................................................................ 7
Travel ............................................................................................................................................................................. 7
Animal Health Emergency Outbreak ................................................................................................................................. 8
SECTION 2: PROGRAM GOALS AND OBJECTIVES.................................................................................................................. 8
ADT Goals and Objectives ................................................................................................................................................. 8
Avian Health Goals and Objectives.................................................................................................................................. 13
Cattle Health Goals and Objectives ................................................................................................................................. 16
One Health and Zoonotic Disease Goals and Objectives ................................................................................................ 19
Sheep, Goat, Cervid, and Equine (SGCE) Goals and Objectives ...................................................................................... 22
Swine Goals and Objectives ............................................................................................................................................ 25
SECTION 3: WORKBOOK DEVELOPMENT ........................................................................................................................... 29
ADT Workbook ................................................................................................................................................................ 29
Quarterly Reporting Tabs ............................................................................................................................................ 29
Software Enhancement Form Tab ............................................................................................................................... 29
Program Manager Checklist Tab ................................................................................................................................. 30
Umbrella Workbook ........................................................................................................................................................ 30
General Workbook Guidance .......................................................................................................................................... 30
Work Plan and Accomplishments................................................................................................................................ 30
Financial Plan ............................................................................................................................................................... 31
SECTION 4: APPLICATION PROCESS .................................................................................................................................... 31
SECTION 5: POST-AWARD................................................................................................................................................... 32
Claims ............................................................................................................................................................................. 32
Reporting ......................................................................................................................................................................... 32
Financial Reporting ...................................................................................................................................................... 33
Performance Reporting ............................................................................................................................................... 33
Property/Equipment Reporting................................................................................................................................... 34
Amendments ................................................................................................................................................................... 34
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Budget Shifts ............................................................................................................................................................... 35
SECTION 6: CLOSEOUT........................................................................................................................................................ 35
SECTION 7: RECORDS MANAGEMENT ................................................................................................................................ 36
Appendix 1: Definitions ...................................................................................................................................................... 37
Appendix 2: References ...................................................................................................................................................... 38
Appendix 3: Applicant Eligibility Requirements ................................................................................................................. 39
Appendix 4: Quick Reference of Common Cost Types ....................................................................................................... 40
Appendix 5: Work Plan Guidance in lieu of using Workbook............................................................................................. 41
Appendix 6: Financial Plan Guidance ................................................................................................................................. 46
Appendix 7: ADT Financial Plan Example ........................................................................................................................... 48
Appendix 8: Umbrella Financial Plan Example ................................................................................................................... 49
Appendix 9: Instructions on Signing a Form in Microsoft Excel ......................................................................................... 49
Appendix 10: Application Process ...................................................................................................................................... 51
Appendix 11: Program Reports .......................................................................................................................................... 52
Appendix 12: Workflows .................................................................................................................................................... 52

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INTRODUCTION
Animal and Plant Health Inspection Service (APHIS), Veterinary Services (VS), Field Operations (FiOps) provides funding
for surveillance, monitoring, reporting, prevention, and control activities through a comprehensive approach for animal
health management. This Grants and Cooperative Agreements Guide outlines the process for applying for Federal
financial assistance with FiOps, which is typically awarded through a Cooperative Agreement.
A Cooperative Agreement, defined in Title 2, Code of Federal Regulations (2 CFR), Part 200.1, is a “legal instrument of
financial assistance between a Federal awarding agency and a Recipient or pass-through entity and a subrecipient.” It
provides for substantial involvement between FiOps and the non-Federal entity in carrying out the activities identified in
the Cooperative Agreement.
VS identifies three distinct categories of Cooperative Agreements:
•
•
•

Umbrella Cooperative Agreements cover all animal disease activities with the exception of Animal Disease
Traceability (ADT)
ADT Cooperative Agreements cover all activities identified for traceability
Other Cooperative Agreements are provided on a case-by-case basis. Often, these Agreements are for pilot
programs or emergency animal health outbreaks. For further guidance on emergencies, contact your Area
Veterinarian in Charge (AVIC)/Program Manager (PM)

Cooperative Agreements will be processed and managed using the online grants management system, ezFedGrants
(eFG). Please review the Award Face Sheet and the standard set of Terms and Conditions prior to signing the Cooperative
Agreement in eFG.
Refer to Appendix 1 for a list of definitions.
Refer to Appendix 2 for references.

SECTION 1: GENERAL GUIDANCE
Eligible Applicant Requirements
FiOps 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.
Recipients are required to have:
1. An active System for Award Management (SAM) account (https://www.sam.gov) including a Unique Entity
Identifier (UEI) number
2. USDA Level 2 eAuthentication access to eFG
Additional details regarding these items can be found in Appendix 3.
Applications for funds will not be considered for award if there are any outstanding delinquent Performance or Financial
Reports from previous Cooperative Agreements. For Avian Health funding, this includes the submission of annual VS 94, Summary of Breeding Flock Participation, reports to the National Poultry Improvement Program (NPIP) office. For
Cattle Health funding, this includes complying with Quarterly Reporting of measurable activities which support Program
goals and objectives. For Sheep and Goat Health funding, this includes providing the necessary reports for completion
of the annual Scrapie epidemiology and ID compliance report.
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All Recipients will be checked for Suspension or Debarment before a Cooperative Agreement can be fully executed. Refer
to APHIS Directive 2280.1, Suspension and Debarment, dated 6/20/14 for more information.

Period of Performance
The period of performance, defined in 2 CFR Part 200.1, is “the total estimated time interval between the start of an
initial Federal award and the planned end date, which may include one or more funded portions, or budget periods.
Identification of the period of performance in the Federal award per 2 CFR Part 200.211(b)(5) does not commit the
awarding agency to fund the award beyond the currently approved budget period”. Most of the FiOps Cooperative
Agreements run for 12 months from April 1 to March 31. Costs will only be reimbursed if they occur during the
Cooperative Agreement period of performance.
If the Cooperative Agreement cannot be signed prior to the start date, then Recipients may, contingent upon Recipient
internal policy, submit a Pre-Award Letter Request which, if approved, allows the Recipient to initiate work and be
reimbursed when the Cooperative Agreement is fully executed. A fully executed Cooperative Agreement package
includes a signed Award Face Sheet which is issued by eFG when the Cooperative Agreement becomes active. Pre-award
costs are always incurred at the Recipient’s risk. Pre-award costs must be allowable under the applicable cost principles
to be reimbursed.
•
•

The Recipient must submit a Pre-Award Letter Request that is signed by the Recipient Certifying Official, to the
FiOps Signatory Official (SO)/District Director through the AVIC/PM to obtain approval to incur these costs.
If the request is approved, a copy that has been signed by the AVIC/PM and the FiOps SO will be provided to the
Recipient. If the request is denied, a reason will be provided to the Recipient. Verbal approval to enter into a
Cooperative Agreement or incur costs is not valid and cannot be honored.

If the 90-day pre-award period expires and an extension has not been approved, then the Cooperative Agreement start
date will revert to date of final signature. Any costs incurred outside of the Cooperative Agreement period of
performance cannot be reimbursed.
There is an allowance of a one-time extension request of up to 12 months for the performance period to complete the
project assuming there is no funding increase requested. If the extension results in two Cooperative Agreements running
concurrently, then the Recipient will need to clearly identify that there will not be overlapping activities between the two
Cooperative Agreements. Extension requests will be considered on a case-by-case basis.

Cost Guidance
This section provides guidance on allowable and unallowable costs that can be reimbursed through a Cooperative
Agreement. Allowable costs must be reasonable, allocable, and necessary to the project. Office of Management and
Budget (OMB) cost principles must be used to determine whether and to what extent a cost can be charged to the project.
Refer to Appendix 1 for a list of definitions.
Refer to Appendix 4 for a quick reference on common cost types.
Cost Sharing and Matching
Cost sharing or matching, defined in 2 CFR Part 200.1, is “the portion of the project costs not paid by Federal funds (unless
otherwise authorized by Federal statute).” For additional information on cost share please reference 2 CFR Part 200.306.
There is a legislative requirement that Brucellosis Eradication Programs contain a minimum cost matching by States of at
least 40 percent. No other Programs currently require a cost share/match. If a Recipient includes cost share in their
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budget proposal and it is accepted by VS, the commitment of funds becomes legally binding, must be reported on the
SF-425, and is subject to audit.
If the Recipient is not meeting their cost-share ratio or cost-match requirement as stipulated in the Cooperative
Agreement, action can be taken to (1) reduce the next Cooperative Agreement, (2) reduce VS' share proportionately, or
(3) allow the reduced cost share when it is in the best interest of the Federal Government. Once the Cooperative
Agreement has expired, adjustments to the cost share cannot be approved.
Unallowable Costs
The items below are costs that cannot be funded through FiOps Cooperative Agreements:
•
•
•
•
•
•
•
•
•
•
•
•

Land acquisition
International Travel
Research
Compensation for Federal employees
Travel of Federal employees
Federal subawards
Construction and/or major rehabilitation of buildings
Bonuses or commissions
Fundraising
Meeting, conference, symposia, or workshop honoraria, which is payment to individuals or guests other than for
documented professional services
Vehicle purchases or leases
Promotional, outreach, or giveaway items such as calendars, rulers, pens, pencils, squishy balls, cups, etc.

Publications and Audiovisuals (Outreach Materials)
Whenever possible, existing publications or audiovisuals, sometimes referred to as outreach materials, should be used.
The FiOps Programs, Office of the Deputy Administrator (ODA), and the Office of Legislative and Public Affairs (LPA) must
review a draft of any new publications or audiovisuals produced with Cooperative Agreement funds for public use. All
outreach materials created with Cooperative Agreement funds must be submitted through the AVIC/PM and SO for this
review and approval. A determination will be made if the USDA logo may be used and APHIS’ participation in the project
may be acknowledged. Please allow a minimum of two weeks for review and approval of materials (pamphlets, flyers,
posters, etc.). Approval must be obtained prior to printing.
Refer to the General Terms and Conditions for APHIS Cooperative Agreements Grants, Publications and Audiovisuals
article.
All outreach materials created with Cooperative Agreement funds must be submitted through the AVIC/PM and SO for
review and approval. Approval must be obtained prior to printing.
Laboratory Equipment
The Federal definition of equipment is tangible personal property (including information technology systems) having a
useful life of more than one year and a per unit value of $5,000 or more, unless the Recipient definition of equipment is
more restrictive. If laboratory equipment is being requested, the Laboratory Equipment Request Form must be
submitted with the Workbook. This form may also be used to request emergency response equipment, such as foamers
or CO2 systems. A justification must be provided for the equipment requested.

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Information Technology
All Information Technology purchases, regardless of the amount will require a review. Please allow an additional two
weeks for this review. Approvals are tied to a given Fiscal Year (FY) and new requests must be submitted annually.
Information technology, defined in 2 CFR Part 200.1, is “Computing devices, ancillary equipment, software, firmware,
and similar procedures, services (including support services), and related resources. See also the definitions of computing
devices and equipment.”
Some examples of information technology include:
•
•
•
•
•

Specialty desktop machines (e.g., Geographic Information System (GIS) workstations, computers which have a
desktop operating system and are part of a laboratory system)
Scanning equipment or services
Software programs or applications either developed in-house or by contractors, consulting services, or Recipients
Telephones, cell phones, Smartphones (e.g., Blackberries, iPhones), or Global Positioning System (GPS)
equipment
Devices with an embedded operating system

Travel
Conferences and Meetings
Animal Health Association (AHA) (Local, State, Regional, or National) conference, meeting, or training attendance
approval will be based on the Recipient showing a benefit to VS for attendance. If attendance is proven to be a benefit,
the Recipient may only claim reimbursement for up to two attendees per Recipient to attend each conference. For
example, two attendees may attend the Regional AHA meeting and two attendees may attend the National AHA meeting.
The two attendees limit combines the Umbrella and ADT Cooperative Agreement requests for travel and applies
whether the attendees are a participant or presenter.
Out of State Travel
Umbrella Cooperative Agreements: The established limit for out of State travel to attend meetings and conferences is
$10,000 or seven percent of the total project costs, whichever is less.
ADT and Other Cooperative Agreements: The established limit for out of state travel to attend meetings and conferences
is $5,000 or seven percent of the total project costs, whichever is less.
Items NOT subject to the travel cap:
•
•
•

Travel to attend trainings, workshops, and working groups
Travel to attend AHA meetings within your State
Registration fees for conferences and meetings (categorized as “other” in the Financial Plan)

International Travel
International travel is not an allowable expense on FiOps Cooperative Agreements.
The Recipient must provide additional justification in writing to the FiOps SO for approval to exceed any of the travel
limits identified above.
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Animal Health Emergency Outbreak
VS works closely with commercial operators, States, and backyard and hobby growers to prevent avian influenza and
other diseases in the United States.
Please contact your AVIC/PM or VS Grants Specialist for additional Cooperative Agreement information in the event of
an animal health outbreak emergency.

SECTION 2: PROGRAM GOALS AND OBJECTIVES
ADT Goals and Objectives
Animal Disease Traceability Work Plan
ADT Cooperative Agreements, funded through Animal Health Technical Services (AHTS), will follow the guidelines set
forth above, as well as those identified in this section to implement the ADT Program and the four overarching goals to
advance ADT established by USDA:
1. Enhance electronic sharing of data among Federal and State animal health officials, veterinarians, and industry;
including sharing basic ADT data with the Federal Animal Health Events Repository (AHER)
2. Increase use of electronic identification (ID) tags for animals requiring individual identification in order to make
the transmission of data more efficient
3. Enhance the ability to track animals from birth to slaughter through a system that allows tracking data points to
be connected
4. Elevate the discussion with States and industry to work toward a system where animal health certificates are
electronically transmitted from private veterinarians to State animal health officials
The utilization of a State ADT Road Map supports this approach as it provides the Recipient’s vision, long-term plans, and
objectives for implementing the ADT Program. State Recipients must have a current and approved ADT Road Map that
addresses key objectives in order to be eligible to receive ADT Cooperative Agreement funding. Recipients who received
approval of their Road Maps in previous Cooperative Agreement periods must update their plans a minimum of every
three years or more frequently as necessary to accurately reflect their approach and implementation solutions to
advance ADT. Road Maps dated January 2020 would be due for an update by January 2023, and all Road Maps should
be updated as needed to reflect USDA’s overarching goals.
Recipients are to submit updates to their Road Maps with the ADT Workbook for review and approval by the AVIC/PM.
(NOTE: Be sure to list the date of the update on the cover of the Road Map.) 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. To
increase awareness of and access to the ADT Road Maps, the most recent ADT Road Maps for each State are posted on
the Animal Disease Traceability website as the annual ADT Cooperative Agreements are signed.
A. Recipient Responsibilities in Animal Disease Traceability Cooperative Agreements
Recipients 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)
ADT is a performance-based program designed to measure outcomes that will document successful advancement of
traceability. In prior Cooperative Agreement years, TPMs have been used to measure and document progress, in
addition to the use of supplementary National Priority Traces (NPTs) introduced in FY 2018. Beginning in FY 2020, the
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traditional TPMs administered by VS District staff (Animal Identification Coordinators/AVICs) were entirely replaced
with NPTs administered by VS ADT staff. This has allowed a more accurate measure of tracing capability, while
reducing the overall amount of work for State partners. The NPTs completed by ADT Recipients will continue to reflect
tracing capabilities based on the previously defined four (4) trace performance measures or activities. Compilation of
the results across all Recipients will continue to enable APHIS to determine current traceability values and to document
progress made from the National baseline values and subsequent “comparison years” that were established in prior
Cooperative Agreement periods. Updated guidelines provided for the administration and completion of NPTs must
be followed to maintain eligibility for reimbursements of expenditures. Recipient Work Plans must detail the following
elements:
1.1. Provide an overview of how the Recipient will complete the assigned TPMs in the Emergency Management
Response System 2 (EMRS2).
1.1.1. Upon completion of a State’s required TPMs for the Cooperative Agreement period, a TPM
performance report will be distributed to States. Upon receipt of the report, States should review the
information and if issues have been identified, work with their AVIC/PM to provide key actions or
activities that they plan to continue to improve key tracing capability indicators prior to the next
performance period. The Recipient should contact the AVIC/PM for their report, if it was not previously
received.
1.2. Recipients that identify potential compliance issues in the course of completing TPMs shall report enforcement
actions taken to their AVIC/PM for inclusion in the VS quarterly ADT Enforcement Action Summary Report.
2. Administration of Official Identification Devices
Recipients must include activities that support and advance official identification and record keeping for the
distribution of official eartags in their Quarterly and Final Accomplishment Reports. Advancement of ADT requires
activities that will make electronic information more readily available. Technology such as Radio Frequency
Identification (RFID) tags, readers, and associated electronic interstate movement documentation must be given high
priority in the Work Plan and must include a description of how ADT funding is to be applied to increase use of RFID
devices.
2.1. Explain how official identification devices will be made available to producers and plans for increasing the use
of official RFID tags and reading devices. Explain how the RFID tags will be read electronically and data collected
after the initial application of the tag to ensure the technology is appropriately utilized.
2.2. 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. Explain how tag distribution records for tags provided to veterinarians
are monitored. See the ADT Workbook Quarterly Reporting tabs to report the number and type of official
identification devices distributed and/or applied.
3. Information Sharing
Sharing information quickly and effectively will help APHIS and its Recipients respond to animal disease events and
make ADT successful. The collection and storage of electronic records along with the ability to share that information
is critical. Therefore, all Recipients must adhere to defined data elements for official identification and interstate
movement information in accordance with accepted data standards (i.e., International Standard 11784 and the
United States Animal Health Association (USAHA) electronic interstate Certificate of Veterinary Inspection (eCVI) xml
schema, respectively). Integration of systems and/or communication processes to support efficient data sharing
options must also be documented in the Work Plan. Enhancing existing systems/applications to utilize recognized
standards for sharing data (e.g., developing the ability to send or receive the USAHA eCVI Data Exchange Standard
XML message) and integrating data systems is necessary.
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3.1. Explain what information systems are being used to support traceability and describe the process and in what
format APHIS and other States will be provided access to the data when needed. Recipients must include a
description of systems utilized for the distribution of official identification, program disease, and movement
record keeping. Contributing summary data from State systems (e.g., USAHerds, CoreOne) to AHER is a high
priority for ADT; therefore, States must work with VS counterparts to develop a plan for sharing key data
elements (tag number, date, event type, State, Premises ID of producer or State office, and system holding data)
with AHER from their systems that support traceability including timelines for implementation of integration.
3.2. 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. Electronic Records
In addition to the key elements noted in the ADT Road Maps, activities to increase the volume of electronic records
that optimize the searchability of potential ADT data shall be described.
4.1. Priority areas to consider include distribution records, tags-applied records of official identification devices,
Interstate Certificate of Veterinary Inspection (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.).
4.2. The Work Plan must describe the Recipient’s approach to increase and track the utilization of electronically
searchable eCVI systems by accredited veterinarians. [See the ADT Workbook Quarterly Reporting tabs for
reporting the number of paper and electronic ICVIs issued per species covered under ADT, the number of
Category II accredited veterinarians using eCVIs, and a listing of the eCVI applications utilized by accredited
veterinarians within the State.]
NOTE: Searchable eCVIs are linked to a data system where data fields may be retrieved electronically (scanned
images of an ICVI created in either a fillable format or handwritten may be attached as a file but are not
considered as a true eCVI unless the individual data elements are searchable).
5. Outreach and Communication
5.1 Implementation of an outreach plan for the Recipient’s approach, including timelines and goals is vital to support
ADT. Recipients should focus on outreach events with stakeholders that demonstrate the value of ADT including
understanding of electronic animal ID, premises ID, timelines, regulations, and exercises/demonstrations of realworld scenarios. Recipients are encouraged to conduct table-top exercises in cooperation with Federal personnel
and use models/resources provided by APHIS. See the ADT Workbook Quarterly Reporting tabs for the reporting
of ADT outreach activities.
6. Compliance and Enforcement of Traceability Regulations
High compliance with traceability regulations is critical to achieve optimum tracing capabilities. While APHIS is the
lead on the regulations defined in 9 CFR Part 86, Recipients are encouraged to work cooperatively with Federal
resources on activities that will support compliance with and enforcement of ADT, particularly when the State has
regulations that align with the Federal regulations.
6.1. The Recipient, in collaboration with the AVIC/PM, is to document processes to examine and report compliance
with ADT requirements and enforcement actions taken for official identification and interstate movement
defined in 9 CFR Part 86. To avoid duplication of reporting, the State should provide their AVIC/PM with counts
of enforcement activities to augment the VS quarterly ADT Enforcement Action Summary Report.

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6.2. Ensuring that accredited veterinarians and other tag managers that acquire official identification devices directly
from manufacturers keep accurate records of tags distributed and applied is high priority. Recipients must
document efforts that will be taken to ensure compliance with this requirement.
B. Allowable Use of ADT Funds
VS will fund expenditures that support the administration of traceability activities, including the following, unless noted
in Section 1, Cost Guidance as an unallowable cost:
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 equivalents (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.
Personnel expenses for data entry should be balanced by a description of methods and systems being implemented
to automate and streamline the data collection processes.
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 1, Travel.
Equipment: Equipment (tangible personal property, including information technology systems, having a useful life
of more than one year, and a per unit value of $5,000 or more) used to manage location data associated with the
application or recording of official identification, official animal identification distribution records, or recording of
official identification associated with animal movement records (e.g., hardware including, but not limited to,
hardware used to operate traceability software (e.g., servers) and RFID stationary readers over $5,000 per unit).
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 the priority areas for ADT funding.
Supplies: Provide a description of the supplies required to perform the proposed activities including, but not limited
to, identification devices, eartag applicators, handheld, and stationary RFID readers under $5,000 per unit, personal
digital assistants, tablets, desktop or laptop computers, printers, wireless air cards, GPS 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. When the cumulative value of supplies exceeds
$5,000 provide an itemized breakdown of the types of supplies and the total estimated cost per type.
RFID readers for use by State, Tribal, or territorial animal health officials: The purchase of RFID reading equipment
may be itemized as either supplies or equipment, depending on per unit cost. The make and model of the readers
must be listed. Recipients may request funding to purchase automated data capture hardware (RFID readers) used
specifically for administering animal disease or traceability programs by employees under the direct supervision of,
or personnel 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.
Infrastructure for livestock markets and Category II accredited veterinarians: States are encouraged to support
development of infrastructure for advancing electronic ID (EID) (i.e., readers) in select sites (e.g., livestock markets,
Category II accredited veterinarians). The purchase of RFID reading equipment may be itemized as either supplies or
equipment depending on per unit cost and the make and model of the readers must be listed. States may provide
the reading devices directly or share costs with the market or veterinarian. States will describe how the infrastructure
funds are to be used and how the State or industry will contribute to the infrastructure development through direct
funding, training, demonstrations, and/or personnel and technical support. Readers must be compatible with USDA
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Mobile Information Management System (MIMS) software. A listing of compatible readers is available from the VS
ADT staff.
Contractual: Installation, maintenance, and user fees (including licensing) for traceability application software that
supports the Recipient’s ADT Road Map and/or Work Plan objectives (e.g., USAHerds, Statevet.com, eCVI
applications, high-speed internet connections, etc.). A detailed explanation reflecting how the software specifically
supports the Recipient’s traceability plan and the collection/recording of official ID in searchable databases is
required. When the application software provides functionality and is used for purposes that are in addition to ADT
priorities (e.g., brand inspection, animal health programs, etc.), the use of ADT funds is to be proportionate with the
application software’s role to each activity.
VS assumes that the Recipient has existing licenses for, and will not cover the cost of, operating systems and system
software (e.g., Oracle or Microsoft SQL).
VS 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 is 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. This form is part of the ADT Workbook located in Section
3, ADT Workbook.
Other: Shipping and postage (shipping for identification devices must be listed separately), outreach and educational
materials (including web sites that support the communication activities), meeting registration and refreshments,
rent, etc.
** It is recommended that Recipients use the ADT Cooperative Agreement Financial Plan Excel template (see Financial
Plan tab in ADT Workbook) to document planned expenditures to support the Work Plan. Workbooks submitted
without the ADT Cooperative Agreement Financial Plan Excel template, or the requested information, will be returned
to the Recipient.
C. Unallowable use of 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 B above is met.
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3. Paying expenses related to interfacing internal systems not associated with the Recipient’s traceability
information technology infrastructure or that has no relevance to traceability information.
4. Conducting research, field trials, or pilot projects to develop or test potential solutions for animal identification
technologies and animal movement data collection (unless reviewed and approved in advance by the VS ADT
staff).
5. Federal funds may not be utilized to purchase visual only official identification devices (metal tags or visual plastic
840 tags) directly from a manufacturer.

Avian Health Goals and Objectives
The goals of the Avian Health Program are to: (1) quickly diagnose, control, and prevent the spread of all H5 and H7
(H5/H7) Avian Influenza (AI) subtypes; (2) improve biosecurity, sanitation, and disease control in commercial poultry,
live bird marketing 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 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, shows, small sales, flea markets, swap
meets, farmers markets, feed stores, botanicas, custom exempt poultry facilities, and backyard or hobby flocks should be
specifically addressed in the Work Plan. In addition, support for the National Poultry Improvement Plan (NPIP) related
activities, such as lab audits, record keeping, review of 9-3 forms, etc. should be listed here.
Objective 1 – Avian Influenza Surveillance
1.1 Active Surveillance – NPIP Flocks
Conduct active surveillance sampling for AI in NPIP Flocks. Activities under this objective may include:
•
•
•
•

Active surveillance of NPIP flocks – including number of trips for sample collection in the proposed activities
section of the Work Plan (trips without diagnostic samples collected should be listed under Objective 2)
For samples submitted directly by producers, indicate as a direct submission and list number of samples
anticipated
Surveillance supplies such as testing kits, mailers, media etc. utilized or distributed – include approximate numbers
to be distributed in the proposed activities section of the Work Plan
Other activities directly related to active surveillance of NPIP flocks; include the metrics by which they are to be
measured

1.2 Active Surveillance – Non-NPIP Flocks
Conduct active surveillance sampling for AI in live bird marketing system sectors, small flocks, fairs, shows, auctions, and
backyard/hobby flocks. Activities under this objective may include:
•
•
•

Active surveillance of non-NPIP flocks – include number of trips for sample collection in the proposed activities
section of the Work Plan (trips without diagnostic samples collected should be listed under Objective 2)
For samples submitted directly by producers, indicate as a direct submission and list number of samples
anticipated
Surveillance supplies such as testing kits, mailers, media etc. utilized or distributed – include approximate numbers
to be distributed in the proposed activities section of the Work Plan

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•

Other activities directly related to active surveillance of non-NPIP flocks; include the metrics by which they are to
be measured

1.3 Passive Surveillance Activities
Conduct passive surveillance sampling for AI 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 AI
should be performed on all reported cases of unexplained respiratory disease, egg production drops, 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 Cooperative Agreement. Activities under this objective may include:
•
•
•

Sick bird calls – include the approximate number of sick bird calls expected in the proposed activities section of
the Work Plan
Avian Foreign Animal Disease (FAD) investigations – include the approximate number of avian FAD investigations
expected in the proposed activities section of the Work Plan
Other activities directly related to passive surveillance – including the metrics by which they are to be measured

Reporting required for Surveillance Objectives
In addition to completing the Performance Reports, the Recipient will report active and passive surveillance testing metrics
quarterly directly into the Data Integration Services (DIS) system for Avian Surveillance, which includes the number of birds tested
and number of tests performed by bird production type and test type. Please complete the AI Surveillance Goals
Worksheet which includes your expected surveillance goals for the performance period and submit it with your Work Plan.
No testing data will be reported on spreadsheets, only the goals.
Please submit the names of the individuals responsible for reporting data to [email protected] who will assist them
with accessing and using the DIS system for reporting.
Objective 2 – NPIP, LBMS, and General Avian Health Support
Describe other Avian Health activities and objectives which support the program goals. Activities under this objective may
include:
•
•
•
•
•
•

NPIP on-farm biosecurity audits, hatchery inspections, laboratory inspections, recordkeeping audits, etc. (no
diagnostic samples taken) – include estimated number of trips and the venue type(s) in the proposed activities
section of the Work Plan
Personnel to perform virtual biosecurity audits – include estimated number of virtual audits
Inspections of LBMS, fairs, shows etc. (no diagnostic samples taken) – include number of trips and the venue
type(s) in the proposed activities section of the Work Plan
Support for data entry and recordkeeping for the NPIP – include number of hours or percentage of effort
Equipment and supplies for personnel, including IT equipment, biosecurity supplies, office supplies etc.
If laboratory equipment with a single item cost of greater than $5,000 is being requested, the Laboratory
Equipment Request Form must be included with the Workbook

Objective 3 – Laboratory Diagnostics
Conduct diagnostic testing for AI and other significant avian diseases on the targeted surveillance samples collected in
accordance with the surveillance objectives previously described.

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Cost Per Test and Laboratory Information
In the Work Plan, the Recipient should identify the total cost-per-test for each test type and the estimated number of
tests to be conducted during the Cooperative Agreement cycle. Costs should be calculated from the time the sample
enters the laboratory to the reporting of results back to the submitter. This may include 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 Objective 2 – General Program
Support, 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
Do not include any costs which are covered by other laboratory funding sources such as National Animal Health
Laboratory Network (NAHLN) or National Institute of Food and Agriculture (NIFA) funding
Antigen Capture Immunoassay (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 (NOT listed as a cost per test) can be
included under supplies in Objective 2
Use virus isolation for exotic birds or species for which Polymerase Chain Reaction (PCR) has not been validated
For high-risk flocks (non-commercial only), testing for other diseases of significance may be included, such as
Pullorum-Typhoid (PT), Mycoplasma Gallisepticum (MG), Mycoplasma Synoviae (MS), Mycoplasma Meleagridis
(MM), or Salmonella Enteritidis (SE)
The diagnostic necropsy charge listed should include only the gross examination. AI and other testing charges
associated with the necropsy exam should be listed separately in the testing totals for the appropriate test(s)
elsewhere in the objective
The number and type of tests listed in the Work Plan should match those entered on the AI Surveillance Goals
Worksheet submitted with the Work Plan

Objective 4 – Education and Outreach
Provide education on biosecurity and disease prevention, especially to high-risk flock owners. The “Defend the Flock”
campaign has resources available for use by States. Any additional materials developed with Cooperative Agreement
funds (posters, pamphlets, etc.) require prior approval. At this time, Cooperative Agreement funds may not be used to
produce calendars. Please allow at least 2 weeks for the approval process. Activities under this objective may include:
•
•
•
•

Provide education and outreach materials at fairs, shows, auctions, small sales, and other venues – include
number of trips and the venue type(s) in the proposed activities section of the Work Plan
Host outreach events to backyard and small flock owners on poultry health and biosecurity – include number of
trips/events and the venue type(s) in the proposed activities section of the Work Plan
Assist producers in preparing for biosecurity audits as required under the NPIP Biosecurity Principles Program
Standards, including the number of trips and the producer type(s) in the proposed activities section of the Work
Plan
Campaign materials – include the expected number that will be produced

Objective 5 – Travel and Training
Provide personnel with opportunities for training and other travel that directly supports program goals. See Section 1
for additional limitations to travel and training. Activities under this objective may include:
•
•
•

NPIP Diagnostic Workshops for diagnosticians at NPIP approved laboratories, NPIP Biennial Conference, and NPIP
Official State Agency meetings
USAHA and other conferences that directly support Avian Health Programs
LBMS Working Group meeting and LBMS Continuing Education training
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If travel is being funded across commodities, please indicate the estimated percentage provided by Avian Health funding.
Objective 6 – Preparedness and Response
Detect and contain high consequence animal diseases including program diseases, as quickly as possible. Activities under
this objective may include:
•
•
•
•

•
•
•

Conduct the annual review of the Initial State Response and Containment Plans (ISRCP) – Include the number of
attendees
Personnel hours to review, update, edit, and distribute the ISRCP
Exercise the State ISRCP at least once every 3 years; include number of participants. Indicate table-top or
functional exercise
Funding to store, repair, and maintain depopulation equipment. Please list storage or maintenance contracts,
supplies, and equipment parts separately. If any preparedness and response equipment with a single item cost
of greater than $5,000 is being requested, the Laboratory Equipment Request Form must be included with the
Workbook
Exercise and train personnel in the use of depopulation equipment at a minimum on a quarterly basis. Include
number of exercises and number of people trained
Conduct epidemiologic investigations in accordance with animal health program regulations and program
standards. Include the approximate number of investigations expected in the proposed activities section of the
Work Plan
Conduct disease response activities such as cleanup, traceback investigations, post exposure monitoring, and
testing, as appropriate. Include the approximate number of avian response activities expected in the proposed
activities section of the Work Plan

Cattle Health Goals and Objectives
Cattle Health Surveillance and Outreach Goals
Conduct surveillance in domestic cattle and bison and targeted high-risk wildlife populations to maintain National, State,
and herd disease status certifications as described in program regulations, program standards, and surveillance plans.
Outreach efforts should complement the program activities.
Surveillance Data Quarterly Reporting
States should supply surveillance and outreach data to the AVIC/PM for those program activities that the area office does
not have available. AVICs/PMs will work with Recipients to collect data on a quarterly basis. Data and information
submitted through surveillance and activity reports may be used to inform decisions about future Cooperative
Agreement funding levels. Specific data fields regarding activities are available from the AVICs/PMs.
Program-Specific Objectives and Expected Outcomes
Brucellosis
The 2018 Consolidated Appropriations Act requires Brucellosis Eradication Programs, by States, a minimum matching of
at least 40 percent of State to Federal dollars. Furthermore, this commitment of funds is legally binding and subject to
audit after VS accepts a Recipient’s proposed cost share as described in the Cooperative Agreement budget.
State Objectives – Idaho (ID), Montana (MT), and Wyoming (WY)
•
•

Conduct surveillance activities required to implement Brucellosis Management Plans (BMPs)
Implement risk-based management plans to mitigate risks associated with wildlife that impact animal agriculture
16 | P a g e

•

•
•
•

Each State in the Greater Yellowstone Area (GYA) (i.e., ID, MT, and WY) will commit to one meeting during the
Cooperative Agreement period where two State wildlife and two State livestock officials meet with APHIS
representatives to plan how to decrease brucellosis prevalence in wild elk
o Provide the proposed date and a list of participants within the narrative for the Workbook and attach
the meeting notes to the Performance Report once the meeting has occurred
Encourage abortion screening in cattle
Conduct epidemiologic investigations in accordance with animal health program regulations and program
standards including disease response activities such as clean-up, trace back investigations, post-exposure
monitoring, testing, and disposal of high-risk animals/herds, as appropriate
Provide education to State, Tribal, and Federal Veterinary Medical Officers (VMOs), Animal Health Technicians
(AHTs), Animal Identification Coordinators (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

State Objectives – Non-GYA States
•

•
•

Provide education to State, Tribal, and Federal VMOs, Animal Health Technicians (AHTs), Animal Identification
Coordinators (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
Encourage abortion screening in cattle
Support brucellosis epidemiological investigations as necessary

Bovine Spongiform Encephalopathy (BSE) Surveillance
State Objectives
•

•
•

Collect samples to achieve State-level goals defined in the BSE National sampling plan. Collections should
represent the three major World Organization of Animal Health (OIE) BSE surveillance streams: clinical suspects
(cattle over 12 months of age), emergency slaughter (non-ambulatory cattle over 30 months of age), and fallen
stock (dead cattle over 30 months of age)
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 National Veterinary Services Laboratories (NVSL) for
BSE surveillance

Cattle Fever Tick
Texas (TX) State Objectives
•
•
•
•
•

Conduct targeted surveillance in areas where tick-infested livestock and ungulates have been discovered outside
the Permanent Quarantine Zone in TX
Coordinate wildlife/hunting surveillance with local, State, and Federal entities both within and along the
Permanent Quarantine Zone
Identify research needs and collaborate with APHIS Agricultural Research Service (ARS) on joint fever tick
research
Provide fever tick program data to APHIS, TX Animal Health Commission, and related entities for evaluation of
quarantine and treatment efficacy
Continue collaboration with Mexico regarding identification and return of stray livestock, and fever tick
infestations directly along the Rio Grande River
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•
•
•

Provide diagnostic and surveillance disease testing of all stray livestock within the Permanent Quarantine Zone
Collaborate with TX Parks and Wildlife on whitetail deer census and fever tick surveillance
Continue to submit ticks for identification to the TX State laboratory and NVSL

Tuberculosis (TB)
•
•
•

•
•
•

Visit State-inspected slaughter establishments to validate slaughter inspection and ensure compliance with
existing granuloma submission performance standards (i.e., one submission per 2,000 adult cattle slaughtered)
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)
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 caudal fold tests (CFT) conducted as outlined in Appendix C of Bovine Tuberculosis Eradication Uniform
Methods and Rules, January 1, 2005, after 300 animals have been tested, must be addressed and appropriate
action taken and documented
o Visit each veterinarian failing to meet the appropriate response rate. Report numbers to the AVIC/PM
quarterly
o Submit names of those veterinarians that don’t improve without a valid justification to National
Veterinary Accreditation Program (NVAP) for removal of accreditation
Conduct epidemiologic investigations in accordance with animal health program regulations and program
standards including disease response activities such as clean-up, trace back investigations, post-exposure
monitoring, testing, and disposal of high-risk animals/herds, as appropriate
Provide travel funds to cover the travel cost for State VMO’s to become approved to conduct the comparative
cervical tuberculin (CCT) test at APHIS approved training
For States with a bovine TB detection:
o Conduct targeted surveillance in geographic areas where TB has been identified in livestock or wildlife.
Identify additional source herds, herds containing known TB-exposed animals, and adjacent herds as
revealed by epidemiological investigation. Such herds shall be placed under quarantine within 15 days
of identification and a herd test of all eligible livestock shall be scheduled
o Implement herd plan(s) and management strategies to eradicate the infection from TB-affected herds,
including depopulation plans or testing plans leading to quarantine release and assurance phases, and
testing of restocked herds after depopulation in consultation with VS
o Implement State-wide risk-based management plans to mitigate threats associated with impacted
animal agriculture within a State when TB is detected
o Conduct wildlife surveillance to determine if TB is present in wildlife. The “TB Wildlife Surveillance”
manual (available upon request from VS Cattle Health Program staff) may serve as a useful guide. If TB is
detected in wildlife, surveillance will be conducted to demonstrate that prevalence in wildlife is less than
0.5 percent for three consecutive years

Other
Blood and Tissue Collection (BTC)
•

Assist VS in bringing all Federally-inspected, State-inspected, and custom kill slaughter plants and all rendering
plants into compliance with 9 CFR 71.21, (BTC rule) or in conducting quarterly inspections

National List of Reportable Animal Diseases – National Animal Health Reporting System (NLRAD-NAHRS)
•

Complete applicable monthly NAHRS reporting through NLRAD‐NAHRS Web Reporting System

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Complete data entry (EMRS2, Surveillance Collaboration Services (SCS CoreOne), NVSL Laboratory Information
Management System, Veterinary Services Laboratory Submission (VSLS), NAHRS/NLRAD)

Preparedness and Response Objectives
•
•
•

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 VS
Investigate, control, and eliminate (when appropriate) emerging, re-emerging, endemic, zoonotic, and foreign
diseases that impact animal agriculture
Implement risk-based management plans to mitigate risks associated with emerging, re- emerging, endemic,
zoonotic, and foreign diseases that impact animal agriculture

One Health and Zoonotic Disease Goals and Objectives
This section covers National priority and State specific zoonotic disease activities, not already covered under regulatory
programs or FAD plans, and other One Health (OH) events with an animal component. “One Health events” are
problems occurring at the intersection of human, animal, and environmental health. These problems are often complex
and benefit from increased collaboration, communication, and coordination across and between all sectors involved in
prevention, detection, preparedness, and response.
Examples of OH partners include: Federal, State, Territorial, Tribal, and local animal, public, and environmental
officials, industry stakeholders, and Universities.
1. Surveillance Goals
•
•

Identify opportunities for coordinating Zoonotic Disease surveillance activities across animal-humanenvironmental sectors and implement processes to improve information sharing between sectors
Provide routine or ad hoc information that allows State and Federal partners to assess threats and effectively
prevent, detect, prepare for, and respond to Zoonotic Diseases and other OH events with an animal component

Surveillance Objectives:
•
•
•
•

Develop and maintain cross sector communication protocols between human and animal health officials
regarding human cases of Zoonotic Disease and confirmed or suspected cases of Zoonotic Disease in livestock
and poultry
Develop cross sector surveillance and risk assessment plans for Zoonotic Diseases and OH events. This includes
State-level cross sector planning for monitoring human illness during known/potentially Zoonotic Disease
outbreaks
Conduct routine and/or event specific cross sector surveillance and risk assessments for Zoonotic Diseases and
other OH events. This includes State-level cross sector monitoring of human illness during known/potentially
Zoonotic Disease outbreaks
Enhance cross sector information sharing by identifying and implementing methods that facilitate
communication and reporting between OH partners
 Potential methods include forming interagency OH Zoonotic Disease working groups; creating interagency
agreements or memorandums of understanding and data sharing agreements; hosting workshops or
events using tools that facilitate OH collaborations e.g., the One Health Systems Mapping Analysis
Resource Toolkit (OH‐SMART)

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Expected Outcomes:
•
•
•

Productive OH partnerships have been built which result in cross sector surveillance and risk assessment
planning, implementation, and evaluation
Cross sector surveillance and reporting systems for National priority and State specific zoonotic diseases and other
OH events are established and implemented
Activities are implemented that promote cross sector information sharing, address confidentiality issues, and
enhance Zoonotic Disease surveillance data collection and exchange among OH partners

Reporting for Zoonotic Surveillance and OH:
•
•

Complete applicable monthly NAHRS reporting through NLRAD‐NAHRS Web Reporting System
Provide data and information on all activities carried out to fulfill the Zoonotic Disease and OH surveillance
objectives during the reporting period, using the One Health Work Plan and Report tab of the Workbook provided
 Number and description of cross sector Zoonotic Disease/OH issue communication and surveillance plans
and/or risk assessments developed. Include information on shared protocols, plans, and best practices
 Number and description of routine and/or event specific Zoonotic Diseases/OH events under surveillance
and/or risk assessments performed; include details of activities conducted with cross sector partners
 Description of other activities that promote information exchange, address confidentiality issues, and
improve Zoonotic Disease data collection and sharing among OH partners

2. Preparedness and Response Goals
•
•

Prevent, detect, and respond to Zoonotic Diseases and OH issues as quickly as possible using a multisector, OH
approach and strategies that protect animal agriculture, animal, and public health
Identify and implement ‘best practices’ for partnering and communicating with cross sector officials and other
OH partners during Zoonotic Disease outbreaks and OH events

Preparedness and Response Objectives:
•
•
•
•

Develop, maintain, and exercise cross sector State-level plans to prepare for and respond to Zoonotic Diseases
and OH events that fully engage public and environmental health sectors
Investigate, control, and eliminate (if possible) Zoonotic Disease outbreaks and OH issues in collaboration with
OH partners
Develop and conduct targeted epidemiologic studies/assessments of Zoonotic Diseases or OH issues, in
collaboration with OH partners, to identify risk factors and opportunities to protect animal and public health
Implement cross sector risk-based management plans to mitigate risks associated with Zoonotic Diseases and
OH issues

Expected Outcomes:
•

Cross sector State-level preparedness and response plans for National priority and State specific Zoonotic
Diseases and OH events have been developed that take into consideration animal, human, and environmental
health aspects, as well as continuity of operations. Plans include:
 Framework for coordinating cross sector preparedness and response activities, e.g., strategic and/or action
plans
 Defined triggers, roles, relationships, responsibilities, and methods for investigation and response
 Outlines animal, human, and environmental health considerations, roles, responsibilities, and structures
that will be activated during a Zoonotic Disease or OH event response (Ensure consistency with National
plans developed by VS)
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

•
•
•

Processes/procedures/protocols for joint human and animal investigations, that include wildlife and
environmental aspects (as appropriate), sample collection and analysis
 Methods for aligning risk communication and prevention messages between agencies
National priority and State specific Zoonotic Diseases and OH issues are investigated in collaboration with OH
partners using cross sector plans
Targeted epidemiologic studies/assessments for National priority and State specific Zoonotic Diseases and OH
issues are developed and performed in collaboration with OH partners
Risk-based management plans to mitigate risks associated with Zoonotic Diseases and OH issues are
implemented, when appropriate, in collaboration with OH partners

Reporting:
•

Provide data and information on all activities carried out to fulfill the Zoonotic Disease and OH preparedness and
response objectives during the reporting period, using the One Health Work Plan and Report tab of the Workbook
provided
 Number and description of cross sector State-level preparedness and response plans developed, updated
and/or exercised in collaboration with OH partners
 Number and description of epidemiologic investigations and/or studies undertaken; including name of
specific Zoonotic Diseases/OH issues addressed, activities performed, and details of cross sector/OH
partners involvement
 Include information on/examples of shared templates, plans, or best practices implemented during
reporting period

3. Education and Outreach Goal
•

Identify areas where increased Zoonotic Disease and OH issue awareness is needed and attend/provide/develop
training and outreach activities, tools, and materials to fill the gaps. Potential examples include:
 Zoonotic Disease/OH trainings or workshops, simulation exercises, just in time training for joint
investigation and response teams, and/or producers and other stakeholders, e.g., youth in agriculture
 Distribution of education/outreach materials; development of projects that promote collaboration for
niche producers/agritourism and youth in agriculture

Education and Outreach Objectives:
•
•
•

Attend or provide at least one cross sector Zoonotic Disease or OH training/meeting/workshop to enhance
understanding of Zoonotic Disease prevention, investigation, and response; practical tools for facilitation,
engagement, communication, and problem‐solving among professionals from different sectors and/or disciplines
Develop or provide cross sector educational/outreach materials that enhance understanding of at least one
Zoonotic Disease or OH issues of concern. Engage OH partners as appropriate
Develop OH partnerships within the State using methods to promote additional communication and
collaboration. Examples include tabletop exercises, after action reviews, and action planning workshops using
tools like OH‐SMART (available through the VS One Health Program staff) to identify needs and gaps, and develop
communication and response plans (see Surveillance and Preparedness and Response sections above) for events
at the animal‐human‐environment interfaces

Expected Outcomes:
•
•

Implementation of education and outreach activities have improved cross sector awareness of National priority
and State specific Zoonotic Disease and OH issues; including prevention, investigation, and response activities
Intrastate collaboration to develop/distribute National priority and State specific Zoonotic Disease and OH
education and outreach activities, tools, and materials is occurring
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•

Education and outreach activities have improved understanding of National priority and State specific Zoonotic
Diseases and OH issues among stakeholders, e.g., producers, youth in agriculture and the public

Reporting:
•

Provide data and information on all activities carried out to fulfill the Zoonotic Disease and OH education and
outreach objectives during the reporting period, using the One Health Work Plan and Report tab of the Workbook
provided
 Number and description of cross sector Zoonotic Disease or OH trainings/meetings/workshops attended
and/or provided, including target audience
 Number and description of cross sector Zoonotic Disease or OH educational/outreach materials developed
and/or distributed, including target audience
 Description of other activities, tools, and methods used to promote cross sector communication and
collaboration, including use of OH‐SMART and any subsequent projects

Sheep, Goat, Cervid, and Equine (SGCE) Goals and Objectives
Sheep and Goat Scrapie 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 the National Scrapie Surveillance Plan. All samples collected for scrapie
testing or scrapie susceptibility genotype testing must be submitted to NVSL or an APHIS contract laboratory within 1
week of collection using the VSLS System (contact your AVIC/PM for access). 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. This is an eauthentication password protected database. If a Recipient needs access, then they should contact the AVIC/PM for their
State to request it. The National Scrapie Eradication Program (NSEP) website includes the monthly and annual reports
which provide progress reports by State on meeting surveillance minimums. State personnel may also request access
from the AVIC/PM for their State to the APHIS Sheep and Goat SharePoint site which includes a wide range of scrapie
program information including more detailed surveillance reports and current and historical sheep and goat surveillance
minimums for each State. Please see VSG 7207.1, on the SharePoint site or available through the SGCE staff, for the steps
VS would take when a State fails to meet its annual scrapie surveillance sampling minimums and how a State that doesn’t
meet its sampling minimums each fiscal year can avoid loss of their Scrapie Consistent State status. Please contact your
State’s Designated Scrapie Epidemiologist (DSE) or a Sheep and Goat Health Specialist for Epidemiology (SGHSE), Dr.
Charles Gaiser ([email protected]) or Dr. Dianne Norden ([email protected]), if you have any
questions.
NOTE: Sheep and goat eartags and implants cannot 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. Targeted animals include
all sheep and goats from 18 months of age up to 72 months of age as evidenced by examination of the teeth,
regardless of traceability, and any mature animal that dies prior to slaughter, or is condemned on ante-mortem
inspections, is non-ambulatory, exhibits central nervous system sigs, or exhibits intense rubbing, abrasions, or
rough, thickened, and/or hyperpigmented skin
Maintain current and add new RSSS collection sites
Increase scrapie surveillance of sheep and goats from higher risk and under-represented flocks or populations
and higher risk animals such as mature found dead animals on farms or at livestock markets. For example, State
employees could collect necropsy or live animal samples from these populations on-farm or at other sites such
as livestock markets, dealers, or slaughter establishments before they are slaughtered. NOTE: Live animal testing
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•

must be approved by the SGHSE prior to contacting producers, however submission of necropsy samples does
not require prior approval
Conduct surveillance to meet or exceed the State-of-origin based surveillance annual sampling minimums for
sheep and goats (sheep and goat minimums for FY 2023 will be posted on the APHIS Sheep and Goat SharePoint
site). States that did not exceed their minimums for FY 2022 are encouraged to include activities addressing this
element. Examples of approved activities include paying personnel at slaughter plants to:
o Option 1: Remove and ship whole heads to the VS collection facility.
Contact
[email protected] for supplies and instructions. Alternatively, States may have the heads
sent to an in-State centralized collection site, such as, a State Veterinary Medical Diagnostic Laboratory
(VMDL) for tissue collection
o Option 2: 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 Option 3: Remove the heads and a VS or State employee collects samples on-site, ships tissues, and
enters the submission information into the VSLS system
o Option 4: Collect and submit diagnostic tissues (obex and/or lymph node) to an assigned laboratory and
enter the submission into the VSLS system

Other innovative surveillance methods may be discussed with and approved by the SGHSE.
The template to formalize the sampling agreement with a slaughter plant can be found in VS Memo 534.4. Section A. (1)
of the Generic Agreement template refers to a Statement of Work (SOW). SOW templates have been created for the
scenarios outlined above and are available on the APHIS Sheep and Goat SharePoint site (Go to the National Scrapie
Reference library → Surveillance Guidance Documents → RSSS → RSSS SOWs, SOP, and Small Plant Initiative folder. We
have updated the Statement of Work Templates to include the surveillance target criteria. We are no longer targeting
black-faced sheep or the Montadale and Southdown breeds of sheep. The age criteria have also been updated to clarify
the targeted age range.
Expected Outcomes
•
•
•
•
•

Investigate and sample all scrapie suspect sheep and goats
Collect all targeted animals at RSSS sites
Maintain current and add new RSSS collection sites
Increase surveillance of 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

Reporting
Reports are to be submitted to the AVIC/PM for the State involved on a quarterly basis and reviewed quarterly by the
Sheep/Goat Team. Sample charts are provided in Sheep/Goat RSSS and Non-RSSS Activities for the Reporting Period
Template that may be used for this purpose. Add rows for any item not included in the template. 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.
Sheep, Goat, Cervid, and Equine Health Education and Outreach Goals
Use education and outreach to increase:
•
•
•
•

ID and recordkeeping compliance for sheep and goats
Reporting and submission of species showing clinical signs of specified diseases (e.g., scrapie, chronic wasting
disease (CWD)) and potential foreign or high impact emerging diseases in sheep, goats, cervids, or equines
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
23 | P a g e

In order to maintain proficiency, attendance of State DSEs at one of the APHIS provided Sheep and Goat Health District
Training courses conducted in the DSE’s district is encouraged. See the VS Learning and Development Catalog for more
information. New DSEs may attend out-of-district on-site 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.
Education and Outreach Performance
Describe in narrative, or table form, the SGCE specific education and outreach activities conducted and meetings
attended during the reporting period that were supported by Cooperative Agreement dollars.
Information to include in the activity 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 trainings 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

Sheep, Goat, Cervid, and Equine Health Preparedness Goals
Detect and respond to occurrences of regulatory diseases, foreign animal diseases, or emerging diseases in sheep,
goats, cervids, or equids.
NOTE: No official sheep and goat RFID or any other eartags or implants can be purchased with Cooperative Agreement
funds unless approved by the National Scrapie Program Coordinator as part of the transition plan to RFID for sheep and
goats.
Preparedness and Response Objectives
•
•
•
•

Conduct epidemiologic investigations in accordance with animal health program regulations and program
standards to include epidemiologic investigations for regulatory diseases such as brucellosis, pseudorabies, TB,
or non-regulatory emerging diseases as requested by VS
Conduct disease response activities such as clean-up, trace back investigations, post-exposure monitoring,
testing, and disposal of high-risk animals/herds/flocks, as appropriate
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 AVIC/PM

Reporting and Expected Outcomes
•

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 as shown below:

24 | P a g e

Field Activities for
the reporting
period

•

Scrapie

Cervid TB

Cervid Brucellosis

Etc. – add more
columns as
needed

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. Please contact the AVIC/PM for additional
information

Swine Goals and Objectives
Swine Surveillance Goals
1. 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 classical swine fever (CSF), African swine fever (ASF), swine brucellosis (SB), pseudorabies virus
(PRV), and influenza A Virus in swine. Additional disease surveillance may be added, as necessary, to meet swine
health goals.
2. Perform Swine Health Protection (SHP) activities as required by State and Federal regulations for disease
prevention including active searches for illegal garbage feeding and submission of monthly SHP activity reports.
3. Submission of annual swine activities report, search for ethnic undocumented swine production, training and
response for swine FAD activities, monitor markets for ID and premises reporting, advance relationships with
producers, swine veterinarians, swine labs, and associated industry.
4. NOTE: States may not utilize swine health funds for the purchase of laboratory equipment.
5. Reporting and expected outcomes:
a. Enter data collected for various swine program and surveillance activities into the appropriate data
repository as specified in this State-Federal Cooperative Agreement. This includes using SCS CoreOne
(PRV/SB routine surveillance), Comprehensive Lab Submission Module (CLSM) or MiCo (for active
ASF/CSF surveillance) or equivalent system for routing surveillance, EMRS2 for capturing close out
activities on non-negative PRV and SB cases, and EMRS2 for traces out of positive herds or FAD responses.
b. Follow-up laboratory tests that are positive for program disease or FADs need to be submitted to VS and
entered into EMRS2 per instructions from staff.
c. Supply Monthly SHP summary data to VS for entry into EMRS.
Measurable Outcomes for States that allow garbage feeding:
•
•
•
•
•

Number of licenses issued or re-issued
Number of inspections of garbage feeding facilities
Number of temperature checks of garbage cooking equipment
Number of searches undertaken for illegal garbage feeding
Number of investigations undertaken and resolution of all cases

Measurable Outcomes for States that prohibit garbage feeding:
•
•

Number of searches undertaken for illegal garbage feeding
Number of investigations undertaken and resolution of all cases
25 | P a g e

d. 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).
Higher Risk Surveillance-Based Alternative Sampling (SBAS) PRV-SB
Assess within State industry structure and develop relationships with high-risk outdoor production operations and their
processors to develop sample collection protocols for PRV-SB serology testing of at-risk herds. Work outlined can be done
by Cooperative Agreement or through the use of VS District personnel. Contact VS Swine Health Program staff at
[email protected] with any questions.
1. Perform high risk swine surveillance activities for PRV and SB. PRV and SB high risk surveillance targets for all
States are listed below 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. NOTE:
Targets for commercial sow samples from the 29 largest swine States are set nationally and monitored by staff
and the Kentucky Federal Brucellosis Laboratory (KYFBL) personnel. Most samples are collected by VS contracts
at selected larger sow slaughter facilities and tested at the KYFBL.
2. Shipping costs to the KYFBL, 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 on the
pre-paid shipping label and SBAS on the proper submission forms. The KYFBL personnel will recognize and not
discard SBAS-coded samples and will enter test results in SCS CoreOne for access.
3. States currently testing high risk swine for PRV and SB at their own expense, and wish to continue, may do so
with any non-negative samples continuing to NVSL for confirmation. Contact VS Swine Health Program staff
regarding alternatives for reporting negative results to document activities.
4. Utilize VS Form 4-54 Brucellosis Market Test form to collect sample information for submission to KY lab
indicating these samples are from a SBAS source on the form. Include summaries of this activity in quarterly and
annual reports.
5. If States anticipate difficulty meeting their slaughter surveillance targets, Umbrella Cooperative Agreement funds
may be used for collection of high-risk samples with VS District staff and VS Swine Health Program staff approval.
States may not utilize Federal funds for PRV/SB collection or testing of feral swine.
State
Alabama
Alaska
Arizona
Arkansas
California
Colorado
Connecticut
Delaware
Florida
Georgia
Hawaii
Idaho
Illinois
Indiana
Iowa
Kansas
Kentucky
Louisiana
Maine
Maryland
Massachusetts
Michigan
Minnesota

SBAS Target
50
30
50
500
300
100
100
50
200
200
400
75
50
250
200
400
200
200
100
100
100
300
100

State
Montana
Nebraska
Nevada
New Hampshire
New Jersey
New Mexico
New York
North Carolina
North Dakota
Ohio
Oklahoma
Oregon
Pennsylvania
Rhode Island
South Carolina
South Dakota
Tennessee
Texas
Utah
Vermont
Virginia
Washington
West Virginia

SBAS Target
50
100
30
100
100
50
100
1,000
50
400
500
100
500
50
50
50
100
2,500
50
100
200
75
100

26 | P a g e

State
Mississippi
Missouri

SBAS Target
State
200
Wisconsin
500
Wyoming

SBAS Target
50
50

Higher Risk ASF-CSF Sampling
1. Identify and sample from higher risk markets, aggregation points, and slaughter establishments based on
condemnation reasons suggestive of a hemorrhagic disease. Place the highest priority for sampling within this
program upon the highest risk samples as determined by a local risk evaluation.
2. Assess animal ID compliance related to samples collected for ASF-CSF market surveillance.
3. Utilize CLSM or MiCo to collect sample information for submission to assigned NAHLN labs.
4. ASF whole blood/CSF serum and ASF/CSF tissue surveillance targets for States are listed below in a table format.
For States not listed, please contact VS Swine Health Program staff at [email protected] for guidance
in determining eligibility for sampling under the Umbrella Cooperative Agreement.
5. For specifics on the ASF/CSF Surveillance Program objectives, methods, reporting requirements, and
communications, see the Swine Hemorrhagic Fevers Surveillance Manual.
6. ASF whole blood/CSF serum samples from high-risk pigs (i.e., garbage feeders) are to be sent to Foreign Animal
Disease Diagnostic Laboratory (FADDL). ASF/CSF tissue samples are to be sent to a NAHLN lab designated to
receive samples. Please contact VS Swine Health Program staff prior to collecting samples to determine which
NAHLN lab will receive your samples. NOTE: “SLA” in the table below refers to slaughter samples from high-risk
facilities.

State
AR
FL
FL
GA, LA,
NJ, and
NY
HI
MA
NC
PR
TX
** AK, CA,
CT, ME,
NH, NM,
NV, PA, RI,
and WV**

ASF
Whole
Blood/CSF
Serum
75
1300
205

Premise Type
Garbage feeder
Transitional on-farm/SLA
Garbage feeder

25
390
40
100
1085
2900

Garbage feeder
Garbage feeder
Garbage feeder
Garbage feeder
Garbage feeder
Transitional on-farm/SLA

5-10 per
garbage
feeder

Garbage feeder

State
CA
HI
IA
IL
IN
KS
MN
MO
NC
NE
OH
OK
PA
SD
TX
WI

ASF/CSF Tissue
350 (50 from
small plants)
50
1250
400
400
150
500
200
500
200
200
200
100
100
230
100

Premise Type
SLA higher risk market swine
SLA higher risk market swine
SLA higher risk market swine
SLA higher risk market swine
SLA higher risk market swine
SLA higher risk market swine
SLA higher risk market swine
SLA higher risk market swine
SLA higher risk market swine
SLA higher risk market swine
SLA higher risk market swine
SLA higher risk market swine
SLA higher risk market swine
SLA higher risk market swine
SLA higher risk market swine
SLA higher risk market swine

Garbage Feeding Inspections (For States in which Garbage Feeding is Legally Allowed)
1. The Swine Health Protection Act (SHPA) – 9 CFR Part 166.5 provides the standards for licensed garbage-treatment
facilities. On-farm inspections of the garbage cooking and feeding process are used to carefully monitor garbage
treatment and feeding facilities to ensure requirements are met.

27 | P a g e

2. SHPA funds are to be used for inspections and investigations that involve enforcement of the Act. Funds are not
to be used for routine low risk checking of garbage sources where there is no indication of any violation of the
Act. Funds can be used to conduct searches at locations where there is risk of introduction of foreign animal
disease (e.g., ethnic restaurants, buffets, urban environments where there is potential for travelers to bring in
foreign meat products).
3. Guidelines for States that allow garbage feeding:
a. Apply license procedures to all facilities that feed garbage to swine.
b. Inspect all licensed garbage feeding facilities every 90 days, at a minimum.
c. Investigate and resolve all reports of illegal garbage feeding in swine.
4. Guidelines for States where swine garbage feeding is banned:
a. Investigate and resolve all reports of illegal garbage feeding in swine.
5. Sample pigs, as appropriate, for ASF/CSF (spleen or tonsil samples on dead garbage-fed hogs), PRV-SB (using
SBAS testing at the KYFBL), including solicitation of calls reporting mortality events in garbage fed herds.
6. Utilize CLSM or MiCo for data collection related to ASF/CSF surveillance samples.
Preparedness and Response Objectives
1. 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
VS.
2. Conduct epidemiologic investigations in accordance with animal health program regulations and program
standards. Including epidemiologic investigations for regulatory diseases such as ASF/CSF, brucellosis,
pseudorabies, TB, or non-regulatory emerging diseases as requested by VS.
3. Conduct disease response activities such as herd clean-up, trace back/forward investigations, testing, and
disposal of high-risk animals/herds, as appropriate.
Education and Outreach Goals
Describe in narrative, or table form, the swine specific education and outreach activities conducted, and meetings
attended, during the reporting period that were supported by Cooperative Agreement dollars.
Information to include in the activity report:
1. 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.
2. For meetings or trainings 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.
Outreach for FMD-SVA FAD Investigations at High Incidence Slaughter Facilities: Develop collaborative relationships
and sampling protocols in slaughter facilities exhibiting high rates of FSIS-reported vesicular cases.
1. Use program flexibility for submitting official testing at local NAHLN labs to establish negative results without
100 percent shipment to FADDL for testing.
2. Assist plants and shippers in modifying protocols to lower incidence of vesicular lesions in slaughter facilities.
NEW Swine Goal: US Swine Health Improvement Plan
1. The U.S. Swine Health Improvement Plan (US SHIP) – Currently in pilot status provides the standards for
enrollment and participation in US SHIP. The objectives of US SHIP are to enhance participating producers,
28 | P a g e

slaughter establishments and states’ abilities to prevent, respond to and recover from diseases with potential to
impact trade (e.g., foreign animal diseases) through well-defined program requirements for biosecurity,
traceability, and disease surveillance.
2. SHIP funds are to be used to establish and maintain an Official State Agency (OSA) for the purpose of conducting
outreach to and enrolling swine operations in the US SHIP program.
3. OSAs are expected to conduct SHIP specific outreach activities, industry stakeholder meetings, and webinars to
encourage producer enrollment and participation.
a. Describe in narrative activities and outreach held on a quarterly basis between the OSA and industry
stakeholders. These activities can be held virtually or in person with potential SHIP participants or
currently enrolled participants to share updates and information regarding the status of the US SHIP
program within the cooperating state.

SECTION 3: WORKBOOK DEVELOPMENT
The completion of the Microsoft Excel Cooperative Agreement Workbook templates is the preferred method for
satisfying Work Plan, Financial Plan, and reporting requirements. The Workbook must clarify how Federal financial
assistance will enable the Recipient and FiOps to accomplish Cooperative Agreement goals and outline any subaward
activities. The ADT Workbook is one file in comparison to the Umbrella Workbook which is separated into two. If the
suggested Workbook is not used, refer to Appendix 5 regarding the minimum requirements for the Work Plan and
Appendix 6 for Financial Plan requirements.
The Workbook must be approved by the AVIC/PM prior to submitting an application for Federal funding in eFG.

ADT Workbook
The ADT Workbook includes the following tabs: Cover Page, Work Plan and Accomplishments, Financial Plan, four
Quarterly Reports, Software Enhancement Form, and Program Manager Checklist.
ADT Workbook Template
Refer to Appendix 7 for an example of a completed ADT Financial Plan.
Quarterly Reporting Tabs
In addition to the narrative accomplishments provided on the Work Plan and Accomplishments tab, the Quarterly
Reporting tabs should be used for reporting:
•
•
•

Outreach activities
The number and type of official identification devices distributed and/or applied
The number of paper or electronic ICVIs issued per species covered under ADT, the number of Category II
accredited veterinarians using eCVIs, and a listing of the eCVI applications utilized by accredited veterinarians
within the State

Software Enhancement Form Tab
When requesting the use of ADT Cooperative Agreement funds for software enhancements to existing ADT systems, the
Software Enhancement Form tab must be completed and signed. We will accept an electronic signature on this form.
Refer to Appendix 9 for instructions on signing the Software Enhancement Form.

29 | P a g e

Program Manager Checklist Tab
The Program Manager Checklist is an internal VS document that is completed by the AVIC/PM to confirm that ADT
Cooperative Agreement criteria have been appropriately addressed in the Work Plan by the Recipient. This Checklist is
a useful tool to review when developing your Work Plan.

Umbrella Workbook
The Umbrella Workbook is comprised of the Umbrella Work Plan and Accomplishments Report Microsoft Excel file and
the Umbrella Financial Plan Microsoft Excel file. The Umbrella Work Plan and Accomplishments Report includes the
following tabs: Cover Page, Avian, Cattle, One Health, SGCE, and Swine. The Umbrella Financial Plan includes the
following tabs: Avian, All Other, and Combined.
Umbrella Work Plan and Accomplishments Report Template
Umbrella Financial Plan Template
On the Cover Page tab, all Umbrella Work Plans must include a funding chart broken out in US dollars by the estimated
amounts to fund each Program’s activities. A sample chart is below. The funding in this chart must match the amounts
FiOps provides to you based on negotiations when FiOps submitted their spending plan (summer of the previous year). If
you need to adjust your funding amounts, please submit a detailed request that includes the amounts that need to shift
between the Programs and an explanation. We have developed the Funding Modification Request Form that may be
used to submit this information. These requests will be evaluated on a case-by-case basis and approval is not guaranteed.
Any funding adjustments need to be made prior to submission of your Workbook. Once the Workbook is approved and
the Cooperative Agreement is awarded, shifting of any amount between Programs is not authorized without prior
approval.
AVIAN

CATTLE

ONE HEALTH

SGCE

SWINE

TOTAL

DIRECT

$

$

$

$

$

$

INDIRECT

$

$

$

$

$

$

TOTAL

$

$

$

$

$

$

The Umbrella Financial Plan Template includes three Financial Plans. The Avian Financial Plan should be completed with
all Avian costs. On the Avian Financial Plan, please list personnel and mileage for each of the six objectives separately
and specify if supplies are for surveillance, response, or support. The All Other Financial Plan should reflect all costs for
the Cattle, One Health, SGCE, and Swine Programs. The Combined Financial Plan will automatically populate based on
the information provided in the Avian and All Other Financial Plans. If you need more lines than those that have been
provided, then please contact the AVIC/PM.
Refer to Appendix 8 for an example of a completed Umbrella Financial Plan.

General Workbook Guidance
Work Plan and Accomplishments
The Work Plan and Accomplishments tabs include:
•
•
•

Metric driven goals and objectives
Proposed activities
Quarterly accomplishments

30 | P a g e

Each Work Plan tab lists Program goals. If funding for a goal is not requested, then indicate “Not Applicable or N/A”
under column C, Proposed Activity. Alternatively, if a goal is not listed, please contact the AVIC/PM to discuss adding
new goals/objectives. New goals and objectives can be added to the bottom of the appropriate Program Work Plan tab.
This template can be used to submit accomplishments for the Quarterly Performance Reports. For additional information
regarding how this template is used for reporting, see Section 4, Performance Reporting.
Financial Plan
The Financial Plan estimates the financial resources required to carry out the project. In developing the Financial Plan,
please refer to Section 1, Cost Guidance. The amounts on the Financial Plan must match the cost categories and totals
shown on the SF-424A that the Recipient will complete as part of the application in eFG.
Please note there are red arrows within the Financial Plan that link to comments which provide additional information
and instructions on how to complete the form.
Refer to Appendix 6 for guidance on listing costs on the Financial Plan.
Refer to Appendix 7 for an example of a completed ADT Financial Plan and Appendix 8 for an example of a completed
Umbrella Financial Plan.

SECTION 4: APPLICATION PROCESS
Once the Workbook has been approved, the Recipient will be notified via email. This email will include an Opportunity
Number which will be used to search and apply to the specified Cooperative Agreement Opportunity. Refer to the Job
Aid, Applying to Opportunities in ezFedGrants, for detailed instructions on this process.
Please include the following items in your eFG application packet:
1.
2.
3.
4.

SF-424 Application for Federal Assistance (completed during the application process in eFG)
SF-424A Budget Information – Non Construction Programs (completed during the application process in eFG)
Certification Regarding Lobbying (for Cooperative Agreements exceeding $100,000)
SF-LLL, Disclosures of Lobbying Activities (for Cooperative Agreements exceeding $100,000 and there are
activities to disclose)
5. Negotiated Indirect Cost Rate Agreement (signed Agreement is required when the Recipient is assessing indirect
costs to the project)
6. Copy of State’s Intergovernmental Review Single Point of Contact’s (SPOC) letter per Executive Order 12372 (if
applicable)
7. Pre-Award Letter Request (when costs will be incurred prior to finalization of the Cooperative Agreement)
Additional details regarding these items can be found in Appendix 10.
Forms attached to the application packet in eFG must be physically or electronically signed. Typed signatures will not be
accepted. In addition, please complete the Representations and Certifications (financial portion) in SAM when renewing
the yearly registration.
Draft applications that have not yet been submitted can be edited, by the application creator and any Grants
Administrative Officers (GAOs) in the same organization, when accessed through the Actionable Items section of the eFG
Home page. Please edit draft applications, rather than creating new applications. Contact your Cooperative Agreement
Administrative Officer (CA AO) or FiOps Grants Specialist for issues or questions regarding the application process.
31 | P a g e

SECTION 5: POST-AWARD
Claims
Claims are submitted and processed through eFG to receive reimbursement for allowable, reasonable, and allocable
costs. Claims should be broken down by cost category using the “Requested Amounts by Cost Element” section or
included as an attachment. Claims may be withheld for non-compliance with Cooperative Agreement conditions or
Federal reporting requirements. Reference 2 CFR Part 200.305.
Each claim submitted for an Umbrella Cooperative Agreement is required to be broken down by Program and cannot
exceed the approved funding amount for each Program. Uploading a completed chart, like the example chart provided
below, to the Attachments tab of your claim in eFG will satisfy this requirement. If you do not wish to use this chart,
you will need attach fillable SF-270 form(s), available on Grants.gov, completed by Program, using the vertical columns
on the form (you may need to click on the link, download the file, and open the document from your computer to view
it), with your overall claim in eFG. This approach may require you to submit more than one SF-270 form with your
claim. Shifting expenses of any amount between Programs is not authorized without prior approval. Failure to submit
a breakdown with your claim may result in delay of payment and does not comply with the Cooperative Agreement
terms and conditions.
AVIAN

CATTLE

ONE HEALTH

SGCE

SWINE

DIRECT

$

$

$

$

$

TOTAL
$

INDIRECT

$

$

$

$

$

$

TOTAL

$

$

$

$

$

$

Claims cannot be processed in eFG if there are any past due reports associated with the Cooperative Agreement. Refer
to the Job Aid, ezFedGrants Reimbursement Claim Submission, for detailed instructions on this process.

Reporting
Performance and Financial Reports are submitted through eFG in accordance with the frequency outlined in the Award
Face Sheet.
•
•
•
•

The report template becomes available for submission in eFG on the last day of the reporting period
Reports are named according to calendar year quarter (not the Cooperative Agreement quarter)
Interim Reports are due 30 days after the report is generated
Final reports are due no later than 120 days following the expiration or termination of the Cooperative
Agreement

If the Report deadline will not be met, then submit a written request for an extension to the AVIC/PM before the report
deadline. Claims cannot be processed in eFG if there are any past due reports associated with the Cooperative
Agreement, even if an extension has been granted.
Refer to the Job Aid, Submit Financial or Performance Reports in ezFedGrants, for detailed instructions on this process.

32 | P a g e

Reports are accessible to all users within the same organization. Upon generating, reports go into a common Actionable
Items list where they are visible to anyone from the organization to open, complete, and submit the report. If a user
accesses a report from the common Actionable Items list, then the report will be automatically placed in that user’s
personal Actionable Items list, and it will not be accessible to others in the organization. If a report hasn’t been submitted
by 2am eastern time the following day, then it will automatically be returned to the common Actionable Items list and
will again be accessible to others in the organization.
Financial Reporting
The Recipient must maintain complete, accurate, and current records which disclose the Federal and non-Federal funds
of each VS-sponsored project or program. The Federal Financial Report, SF-425, is cumulative and used to report the
funding status for all non-construction Federal financial assistance awards.
There are two types of accounting (block 7 of the SF-424):
1. Cash Basis: expenses are not recorded until payment is received (revenue)
2. Accrual Basis: expenses are recorded when they are incurred regardless of having received the payment to cover
the expense
If Cash Basis accounting is used, then the amount in block 10 (c), Cash on Hand, should be $0.00 as funds should not
have been drawdown for an amount greater than what was expended. If line (c) is greater than $0.00, an explanation
must be provided in Block 12.
If Accrual Basis accounting is used, then block 10 (c), Cash on Hand, will usually be a negative number representing the
amount of money owed to recipient (funds expended but not yet reimbursed).
If the Agreement has cost share, then Section 10.i – k on the Federal Financial Report must be completed for the cost
share amount contributed during the reporting period.
If there are indirect costs claimed on the Cooperative Agreement, then Section 11 must be completed. If a new rate has
been negotiated during the period of report, then attach a copy of the new signed Negotiated Indirect Cost Rate
Agreement (NICRA) to the report. A revised rate can only be honored once a copy of the new NICRA is provided.
On the Final Federal Financial Report:
•
•
•

An amount should not be listed under Section 10.f, Unliquidated Obligation (Federal Share)
If an amount is listed under Section 10.h, Unobligated balance of Federal Funds, this amount will be deobligated
in the close out process
If a cost share was established in the negotiated Financial Plan, the Final Federal Financial Report, Section 10.i –
k. should reflect contributions to meet this cost share. If the cost share was not met, then any savings on the
project should be shared between the Recipient and VS according to the percentages established at the
implementation of the Cooperative Agreement

Refer to Appendix 1 for a list of definitions.
Performance Reporting
Performance Reports outline the accomplishments that have been achieved by the Recipient to meet the proposed Work
Plan goals and objectives.

33 | P a g e

It is recommended that in the performance narrative section, Section 10 of the eFG generated report, state “See
Attached” and upload your Umbrella Work Plan and Accomplishments Report or ADT Workbook to the Attachments tab.
All Performance Reports can be submitted using the Umbrella Work Plan and Accomplishments Report or ADT Workbook.
The Umbrella Work Plan and Accomplishments Report and the ADT Workbook have been designed as a “living”
document. Once you have developed your Umbrella Work Plan and Accomplishments Report or ADT Workbook,
accomplishment data should be added quarterly. Prior quarterly data remains in the Umbrella Work Plan and
Accomplishments Report or ADT Workbook. This approach assists in tracking progress on the proposed activities
throughout the Cooperative Agreement cycle. The SGCE Program requires additional reporting on RSSS and non-RSSS
activities. The Avian Program requires Avian testing to be reported using the DIS system. The SGCE Program’s reporting
template and the DIS User Guide can be found in Appendix 11.
If testing is conducted on your Cooperative Agreement, then include the number of tests performed in your quarterly
Performance Report.
Property/Equipment Reporting
Recipients are required to maintain an inventory log and conduct a physical inventory every two years for property and
equipment purchased with VS Cooperative Agreement funds. Currently, there is no OMB approved Inventory Report for
use. Please use the Inventory Log spreadsheet until an official Inventory Report is posted to the OMB website.
Recipients who have purchased equipment with prior year Agreement funds and no longer need the equipment should
first determine if the property is still considered equipment, meaning it has a per unit fair market value of $5,000 or more
and a useful life of a year or more. If the property is no longer considered equipment, the Recipient can dispose of it as
they see fit. If the property is still considered equipment, then they should reach out to the AVIC/PM for guidance. The
AVIC/PM may advise the Recipient to transfer the equipment to VS or dispose, donate, or sell the equipment. If the
equipment is sold, then FiOps should be reimbursed at the same cost share ratio for which the equipment was originally
purchased. For additional information, please reference 2 CFR Part 200.313(e) and the General Terms and Conditions
for APHIS Cooperative Agreements Grants.

Amendments
Per 2 CFR Part 200.308, Recipients are required to report deviations from budget, project scope, or objective.
Amendments and/or deviations to the Cooperative Agreement must be requested in writing, in advance of the change
occurring and before the expiration of the Cooperative Agreement. A minimum of 30-day notice is recommended. An
amendment is required when any of the following occur:
•
•

•
•
•
•
•

Changes in scope
o Changes in scope cannot be approved after September 30 due to Federal Appropriation limitations
Extension requests
o Written justification, including why approved goals and objectives were not met during the original
performance period, and a revised SF-424 must be received 10 days prior to the expiration of the
Cooperative Agreement
o Only one extension can be granted for up to 12 months
o An extension will not be approved solely to liquidate unobligated funds
Budget shifts, as detailed below
Increases or decreases to the Cooperative Agreement amount and/or cost share
Changes or disengagement of key personnel for more than three months or 25 percent of the Cooperative
Agreement period
Inclusion of costs that require prior written approval in accordance with 2 CFR Part 200.407
Transfer of funds budgeted for participant support costs as defined in 2 CFR Part 200.1
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•

Subawarding, transferring or contracting out of any work, not including acquisition of supplies, materials,
equipment, or general support services, not already approved in the initial Cooperative Agreement negotiations

Budget Shifts
Recipients should request budget shifts in writing via email or memo to the AVIC/PM for review. Budget shifts between
cost categories that exceed 10 percent or any shift between Programs on the Umbrella Cooperative Agreement must
have approval prior to any actual budget changes. The request should include the following information:
•
•
•
•
•

Amount requesting to shift
Cost categories and/or Programs affected
Justification
Confirmation original objectives have or will be met
Applicable scope changes (Scope changes cannot occur after September 30)

If the Cooperative Agreement is over the Simplified Acquisition Threshold ($250,000) and there is a cumulative shift of
more than 10 percent amongst direct cost categories, then the Recipient must submit a revised Financial Plan and SF424A in addition to the justification per the General Terms and Conditions for APHIS Cooperative Agreements Grants.
AVIC/PM, FiOps SO, and Program approvals are required for these shifts and for Program shifts of any amount.
All requested shifts must be received by FiOps no later than 30 days prior to the expiration of the Cooperative Agreement.
FiOps will inform the Recipient in writing if the shift is allowable.
Shifting of any amount between Programs is not authorized without prior approval.
FiOps may 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 for the purpose of using unobligated funds.

SECTION 6: CLOSEOUT
The eFG system notifies the Recipient at least 30 days prior to expiration of the Cooperative Agreement. Within 120 days
of the expiration of the Cooperative Agreement, the Recipient must pay all obligations and have submitted the following
in eFG:
•
•
•

All Quarterly Reports (Performance and Financial)
Final Claim
Any other products specified in the Terms and Conditions of the Cooperative Agreement or approved Workbook

Upon receipt of all reports and claims, FiOps will close the Cooperative Agreement.
If an amount is listed on the Final Financial Report under Section 10.h, Unobligated balance of Federal Funds and:
•
•

The Recipient requests funding on a reimbursable basis, then the remaining balance will be deobligated based
on APHIS Policy
The Recipient requests funds in advance, then the Recipient will be required to return the unused funds in a
check referencing the Cooperative Agreement number

Deobligated or returned amounts may impact future Cooperative Agreement amounts.

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All Cooperative Agreements are subject to an internal audit and may be selected for review by the APHIS Review and
Analysis Branch (RAB). The APHIS Administrative and Financial Review Questionnaire for Cooperative Agreements is an
example of the type of information that may be requested.
Refer to Appendix 1 for a list of definitions.

SECTION 7: RECORDS MANAGEMENT
In accordance with the requirements set forth in the 2 CFR Part 200.334, the Recipient must retain all financial records,
supporting documents, statistical records, and all other records pertinent to the Cooperative Agreement for at least three
years from the date of submission of the Final Federal Financial Report. When a Cooperative Agreement is under an
audit or compliance review, records must be retained for three years after all issues are resolved. Retention is required
for purposes of Federal examination and audit.
APHIS may request that the Recipient transfer records to its custody when there is long-term retention value. When the
records are transferred to or maintained by APHIS, the three-year retention requirement does not apply to the Recipient.

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Appendix 1: Definitions
The 2 CFR Part 200, Subpart A includes a comprehensive list of definitions. Below are some common definitions along
with definitions for some terms that are not listed in the 2 CFR Part 200, Subpart A.
1. Allowable costs: costs that are reasonable, allocable, and necessary to the project and comply with funding
statute requirements.
2. Cooperative Agreement: a legal instrument of financial assistance between a Federal awarding agency and a
Recipient or a pass-through entity and a subrecipient; the Federal awarding agency does provide substantial
involvement.
3. Cost Sharing or Matching: means the portion of the project costs not paid by Federal funds or contributions
(unless otherwise authorized by Federal statute). See also 2 CFR Part 200.306.
4. Disallowed costs: 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.
5. Equipment: tangible personal property (including information technology systems) having a useful life of more
than one year and a per-unit acquisition cost which equals or exceeds the lesser of the capitalization level
established by the non-Federal entity for financial statement purposes, or $5,000.
6. Grant Agreement: a legal instrument of financial assistance between a Federal awarding agency or passthrough entity and a non-Federal entity; the Federal awarding agency does not provide substantial
involvement.
7. Information technology systems: computing devices, ancillary equipment, software, firmware, and similar
procedures, services (including support services), and related resources.
8. Non-Federal entity: a State, local government, Indian tribe, institution of higher education (IHE), or nonprofit
organization that carries out a Federal award as a Recipient or Subrecipient.
9. Recipient: an entity, usually but not limited to non-Federal entities, 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 Subrecipients.
10. Research: a systematic study directed toward fuller scientific knowledge or understanding of the subject
studied. It is not the intent or purpose of this funding for any VS Cooperative Agreement to support research.
11. Restricted costs: a mixture of allowable and unallowable costs and/or requires Federal awarding agency
approval.
12. Subaward: an award provided by a pass-through entity to a Subrecipient for the Subrecipient to carry out part
of a Federal award received by the pass-through entity. It does not include payments to a contractor or
payments to an individual that is a beneficiary of a Federal program. A subaward may be provided through any
form of legal agreement, including an agreement that the pass-through entity considers a contract.
13. Subrecipient: an entity, usually but not limited to non-Federal entities, that receives a subaward from a passthrough entity to carry out part of a Federal award; but does not include an individual that is a beneficiary of
such award. A Subrecipient may also be a Recipient of other Federal awards directly from a Federal awarding
agency.
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14. Substantial involvement: when the Federal awarding agency provides collaboration, participation, or
intervention. The Federal awarding agency is substantially involved when it acts as a partner with the
Recipient.
15. Unliquidated financial obligations: for financial reports prepared on a cash basis, financial obligations incurred
by the non-Federal entity that have not been paid (liquidated). For reports prepared on an accrual expenditure
basis, these are financial obligations incurred by the non-Federal entity for which an expenditure has not been
recorded.
16. Unobligated balance: 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
financial 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.

Appendix 2: References
Recipients are reminded to review the following regulations and ensure that Grant/Cooperative Agreement activities are
conducted in accordance with the applicable guidance:
Reference Number/Link
Name of Reference
Executive Orders and OMB Circulars/Memos
Executive Order 12372
Executive Order 12549
OMB Circular A-129
M-21-20

Intergovernmental review of Federal programs
Debarment and suspension
Policies for Federal Credit Programs and Non-Tax Receivables
Promoting Public Trust in the Federal Government through Effective
Implementation of the American Rescue Plan Act and Stewardship
of the Taxpayer Resources

United States Code/Public Laws
7 U.S.C. 2279
18 U.S.C 287
18 U.S.C. 1001
31 U.S.C. 63
31 U.S.C. 1352
41 U.S.C. 83
Public Law 91-190
Public Law 109-282
Public Law 101-453
Public Law 110-246

Outreach and assistance for socially disadvantaged farmers and
ranchers
The False Claims Act - False, fictitious, or fraudulent claims
The False Claims Act - Statements or entries generally
Using Procurement Contracts and Grants and Cooperative
Agreements
Limitation on use of appropriated funds to influence certain Federal
contracting and financial transactions
Buy American Act
National Environmental Policy Act of 1969 (NEPA)
Federal Funding Accountability and Transparency Act of 2006
(FFATA) (31 USC 6101)
The Cash Management Improvement Act of 1990 (31 USC 6501)
Food, Conservation, and Energy Act of 2008 (7 USC 8701)

Code of Federal Regulations
2 CFR
2 CFR Part 25
2 CFR Part 170
2 CFR Part 170.320
2 CFR Part 180
2 CFR Part 200
2 CFR Part 200.500

Grants and Agreements
Universal Identifier and System for Award Management
Reporting Subaward and Executive Compensation Information
Federal financial assistance subject to the Transparency Act
OMB Guidelines to Agencies on Governmentwide Debarment and
Suspension (Non-procurement)
Uniform Administrative Requirements, Cost Principles, and Audit
Requirements for Federal Awards
Audit Requirements

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Reference Number/Link
2 CFR Part 400
2 CFR Part 417
5 CFR Part 1320
7 CFR
7 CFR Part 2.80
7 CFR Part 371.4
9 CFR
31 CFR Part 205
48 CFR Subpart 9.4

Name of Reference
Federal Agency Regulations for Grants and Agreements –
Department of Agriculture
Nonprocurement Debarment and Suspension
Controlling Paperwork Burdens on the Public
Agriculture
Delegation of Authority for Animal Plant Health Inspection Service
(APHIS)
Authorities for Veterinary Services
Animals and Animal Products
Rules and Procedures for Efficient Federal-State Funds Transfers
Federal Acquisition Regulation (FAR) – Debarment, Suspension, and
Ineligibility

APHIS Directives
APHIS Directive 2280.1, 6/20/14
APHIS Directive 3220.1, dated 2/4/13

Suspension and Debarment
APHIS Information Technology (IT) Acquisition Approval Request
(AAR) Requirements

Departmental Regulations
Departmental Regulation (DR) 1700-2
Departmental Regulation (DR) 2280-001

OIG Organization and Procedures, dated 6/17/97
Suspension and Debarment, dated 9/7/22

Appendix 3: Applicant Eligibility Requirements
This appendix includes additional details regarding the applicant eligibility requirements.
1. SAM registration must take place online at the SAM website: https://www.sam.gov. A UEI number will be
assigned during SAM registration. You will also need to complete the Representations and Certifications in
SAM. Please check “Yes” to the Federal Assistance questions. There is a help guide at
https://www.fsd.gov/sys_attachment.do?sys_id=9ae9e2161ba17810070f202ce54bcb02 to assist you with
completing the Representations and Certifications. Frequently Asked Questions, User Guides, Demonstration
Videos, etc., can be found at the SAM website, under the “Help” tab. Registration is free. Please allow
sufficient time for the registration process.
2. Recipients must use the eFG system to apply for a Cooperative Agreement with FiOps which requires Level 2
Access. Recipients new to eFG should review the Job Aids located in the Job Aid Library Section of the NFC eFG
Recipient Landing Page.
The eFG system requires each Recipient to have a minimum of at least one Grants Administrative Officer (GAO) and one
Signatory Official (SO). 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.
Below is a chart showing the various roles a Recipient can designate and the actions they can take in the system.

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ezFedGrants Role

Role Functions

Grants Processor

Grants Administrative Official (GAO)

Signatory Official (SO)

•
•
•
•
•
•
•
•
•
•
•
•

Prepare and submit Financial and Performance Reports
Create and Edit Applications and Claims
Search and View Opportunities, Applications, Claims, Reports, and Amendments
Be designated as a Certifying Official (secondary role)
Grants Processor functions, PLUS
Approve access requests, change user roles, and deactivate user access
Reassign draft or returned Applications, Claims, and Reports
Generate work item and user administration reports
Prepare and submit Financial and Performance Reports
Search and View Opportunities, Applications, Claims, Reports, and Amendments
Review and digitally sign Applications, Agreements, and Amendments
Be designated as a Certifying Official (secondary role)

Appendix 4: Quick Reference of Common Cost Types
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
Advisory councils

200.421
200.422

Alcoholic beverages
Alumni/ae activities
Audit services
Bad debts
Bonding costs
Collections of improper payments
Commencement and convocation costs

200.423
200.424
200.425
200.426
200.427
200.428
200.429

Compensation - fringe benefits

200.431

Compensation - personal services
Conferences
Contingency Provisions
Contributions and donations
Defense and prosecution of criminal and civil
proceedings, claims, appeals, and patent
infringements
Depreciation
Employee health and welfare costs
Entertainment costs
Equipment and other capital expenditures
Exchange rates

200.430
200.432
200.433
200.434
200.435

Restricted – refer to CFR
Unallowable – unless authorized by
statute, the Federal agency or as an
indirect cost where allocable to
Federal awards
Unallowable
Unallowable
Restricted – refer to CFR
Unallowable
Restricted – refer to CFR
Refer to CFR
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.
Allowable – provided that the
benefits are reasonable and are
required by law, non-Federal entityemployment agreement, or an
established policy of the nonFederal entity.
Refer to CFR
Refer to CFR
Restricted – refer to CFR
Unallowable
Restricted – refer to CFR

200.436
200.437
200.438
200.439
200.440

Restricted – refer to CFR
Refer to CFR
Unallowable
Restricted –refer to CFR
Allowable – refer to CFR

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Type of Cost

2 CFR Part

Classification of Costs

Fines, penalties, damages, and other settlements

200.441

Fund raising and investment management costs
Gains and losses on disposition of depreciable
assets
General costs of government
Goods or services for personal use
Idle facilities and idle capacity
Insurance and indemnification

200.442
200.443

Intellectual property
Interest
Lobbying
Losses on other awards or contracts
Maintenance and repair costs
Materials and supplies costs, including costs of
computing devices
Memberships, subscriptions, and professional
activity costs
Organization costs

200.448
200.449
200.450
200.451
200.452
200.453

Unallowable
Restricted – refer to CFR
Restricted – refer to CFR
Restricted – prior approval of
agency required – refer to CFR
Restricted – refer to CFR
Restricted – refer to CFR
Unallowable – refer to CFR
Unallowable
Allowable
Allowable

200.454

Restricted – refer to CFR

200.455

Participant support costs

200.456

Plant and security costs
Pre-award costs
Professional service costs
Proposal costs
Publication and printing costs
Rearrangement and reconversion costs
Recruiting costs
Relocation costs of employees
Rental costs of real property and equipment
Scholarships and student aid costs

200.457
200.458
200.459
200.460
200.461
200.462
200.463
200.464
200.465
200.466

Selling and marketing costs

200.467

Specialized service facilities
Student activity costs
Taxes (including Value Added Tax)
Telecommunication costs and video surveillance
costs
Termination costs
Training and education costs
Transportation costs
Travel costs
Trustees

200.468
200.469
200.470
200.471

Unallowable, unless there is prior
approval of agency – refer to CFR
Allowable – prior approval of
agency required – refer to CFR
Allowable
Restricted – refer to CFR
Restricted – refer to CFR
Restricted – refer to CFR
Refer to CFR
Allowable
Refer to CFR
Restricted – refer to CFR
Allowable – refer to CFR
Restricted – prior approval of
agency required – refer to CFR
Unallowable, unless there is prior
approval of agency – refer to CFR
Allowable – refer to CFR
Unallowable
Restricted – refer to CFR
Restricted – refer to CFR

200.472
200.473
200.474
200.475
200.476

Restricted – refer to CFR
Allowable
Allowable
Refer to CFR
Refer to CFR

200.444
200.445
200.446
200.447

Unallowable, unless there is prior
approval of agency – refer to CFR
Restricted – refer to CFR
Restricted – refer to CFR

Appendix 5: Work Plan Guidance in lieu of using Workbook
To assist in the development of the program Work Plan/Proposal, the following Work Plan formulation 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.
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The Work Plan for a Cooperative Agreement discusses the roles and responsibilities of the parties signing the
Cooperative 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.
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 (pick one) Award. This Work Plan also
outlines the mission-related goals, objectives, and anticipated accomplishments 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
I.

OBJECTIVES AND
NEED FOR
ASSISTANCE

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.
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
What results or benefits will be derived by providing assistance to the applicant for this
BENEFITS EXPECTED 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 accomplishments by each party, and
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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.
resources to be contributed by each. A grant proposal would reflect only the work of the
grantee.
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 are the projected accomplishments? 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?
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 Notice of Award.
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
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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.
information technology equipment, e.g., computers and their ancillary
components.
a. Equipment Provided: What equipment will be provided by:
i. The Recipient?
ii. 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 2 CFR Part 200.317 or .318, 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:
i. The Recipient?
ii. APHIS?
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 2 CR Part 200.317 or .318, as
applicable.
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 subawards/contracts will be awarded by the recipient and by APHIS?
What is the purpose of the subaward and/or contract, i.e., what goods or services
are being purchased and for what activity and where? Recipient procurements
shall be in accordance with 2 CFR Part 200.317 or .318, as applicable. Other types
of subawards must be approved per 2 CFR Part 200.308 (c) (6).
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 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
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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.
of payment? Indicate number of trips, rates, transportation costs, and
total cost in the Financial Plan.
F. Projected Accomplishments
By activity or function, what are the projections of accomplishments to be achieved?
1. Quantitative Projection of Accomplishments: What are the anticipated
accomplishments by month, quarter, or other specified intervals?
a. Monthly accomplishments:
b. Quarterly accomplishments:
c. Other specified intervals:
2. Non-quantitative Accomplishments: When accomplishments cannot be
quantified, list the activities in chronological order to show the schedule of
accomplishments 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

I.

IV. GEOGRAPHIC
LOCATION
V. SUPPLEMENTAL
INFORMATION

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?
Contributing Parties

Are there any other organizations, cooperators, 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.
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.
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.
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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. Accomplishments to Support New Funding Requests
Discuss accomplishments to date and list in chronological order a schedule of
accomplishments, progress, or milestones anticipated with the new funding request.
D. Revisions and Extensions
If there have been significant changes in the project objectives, 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 changed more than the prescribed limits, explain and justify the
changes and its effects on the project.

Appendix 6: Financial Plan Guidance
Recipient must be in compliance with Federal and State policy and should follow the instructions below when
completing the Financial Plan Template. For example Financial Plans refer to Appendix 7 and Appendix 8.
1. Personnel: Identify the number of employees per position title in the Item Description, number of hours to be
worked in the Quantity column, rate of pay per hour in the Rate column (OR percentage of effort in the
Quantity column and salary rate in the Rate column), and total for each position. For Avian, personnel for each
of the six objectives should be listed separately.
2. Fringe Benefits: List the benefits rate. Benefits may include health and life insurance, unemployment
insurance, workers’ compensation, retirement, including social security, leave and pensions, etc.
3. Travel: Funds may be requested for field work, training, attendance at meetings and conferences, and other
travel costs associated with the proposed work. 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. Reference 2 CFR Part 200.475.
•

•
•

Local Travel: Identify any local travel to daily work sites as outlined in your proposed activities. Indicate by
position type who will be traveling, total projected mileage, and rate per mile. If extended or overnight
travel is planned, then include number of days and per diem rates. Indicate the number of trips per
day/week/month, as appropriate. For Avian, mileage for each of the six objectives should be listed
separately.
Out of State Travel: Identify the number of travelers, meeting/conference/training title and destination.
Provide the cost of transportation, lodging, subsistence and related items, number of days, rate per day,
and the total. Registration fees should be included in the “Other” cost category.
International Travel: Not authorized on the Umbrella or ADT Cooperative Agreements.

NOTE: Please refer to Section 1, Travel which outlines additional travel restrictions.

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4. Equipment: The Federal definition of equipment is tangible personal property (including information
technology systems) having a useful life of more than one year and a per unit value of $5,000 or more, unless
the Recipient definition of equipment is more restrictive. Provide a description of the equipment to be
purchased or leased, including unit cost, and total purchase or leasing costs. If laboratory or preparedness and
response equipment is being requested, the Laboratory Equipment Request Form must be submitted with the
Workbook. Ensure the purpose of each equipment item and how it will benefit or be used for the project has
been included in the Proposed Activity description(s).
5. Supplies: Provide a general description of the supplies required to perform the proposed activities. When the
cumulative value of supplies exceeds $5,000 provide an itemized breakdown of the types of supplies and total
estimated cost per type. For Avian, please specify if supplies are for surveillance, response, or support.
VS limits the amount of Personal Protective Equipment that may be included on a Cooperative Agreement to
72 hours or three 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.
6. Contractual: Provide a description of the contract and the total cost. Ensure the purpose of the contract, i.e.,
what goods or services are being purchased for what activity and where, is outlined in the proposed activities.
If testing is done as a subcontract, then the Recipient shall identify which approved laboratories will be
conducting diagnostic testing, detail the type of test, number of tests, and cost per test/sample. All billing for
laboratory costs shall be done on a cost-per-test basis; e.g. 500 samples at $10.00 equals $5,000. Do not
include any costs which are covered by other laboratory funding sources such as NAHLN or NIFA funding.
7. Other: Identify any direct costs which were not itemized elsewhere, such as conference registration fees,
communications, printing, publication charges, computer time or usage, Recipient laboratory testing, etc.
If testing is done in a Recipient’s laboratory, then the Recipient shall detail the type of test, number of tests,
and cost per test/sample. All billing for laboratory costs shall be done on a cost-per-test basis; e.g. 500 samples
at $10.00 equals $5,000. Do not include any costs which are covered by other laboratory funding sources such
as NAHLN or NIFA funding.
8. Indirect Costs and Recipient Cost Share: include these costs as necessary. Apply indirect costs according to
Appendix 10.
VS’ total share of the project must be a whole dollar amount, no cents, and cannot exceed the allocation amount.

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Appendix 7: ADT Financial Plan Example
**Financial Plan must match SF-424A, Section B**
Cost
Category

Item

Description

ADT (General) FTE
Personnel

ADT Data Entry FTE

5 Field Inspectors (2,080
hours per Inspector)
1 Clerical for 52 weeks @ 2
hr/wk

Quantity

Rate

Recipient
Share

APHIS Share

Total Budget

10,400

$11

$0

$114,400

$114,400.00

104

$10

$0

$1,040

$1,040.00

Personnel Subtotal
Fringe
Benefits

$115,440.00

ADT (General) FTE

Field Inspectors

5

33%

$0

$37,752

$37,752.00

ADT Data Entry FTE

Clerical

1

24%

$0

$249.60

$249.60

Fringe Subtotal

Out of state travel: meetings
and conferences

Travel

Out of state travel: trainings
and workshops

In state travel

$38,001.60
Annual USAHA meeting in
Minneapolis, MN
($1,000 airfare; $39 per
diem*4.5 days; $100
lodging*4 nights; $50
misc)*2 Attendees
Annual ADT meeting in
Minneapolis, MN
($1,000 airfare; $39 per
diem*4.5 days; $100
lodging*4 nights; $50 misc)
1 Field Inspector at 50 mi/wk
for 39 wk at $0.365/mi

2

$1,625.50

$0

$3,251

$3,251.00

1

$1,625.50

$0

$1,625.50

$1,625.50

1,950

0.365

$0

$711.75

$711.75

1

$5,300

$0

$5,300

Travel Subtotal
Equipment

Equipment Subtotal

Supplies IT
Hardware

Laptop

Supplies Tags
Supplies RFID
Readers
Supplies Other

Office Supplies

Contractual
- IT Systems
Contractual
- Other

5

$500

$0

$2,500

$2,500.00

RFID - LF (HDX)

75

$1.50

$0

$112.50

$112.50

RFID - LF (FDX)

150

$0.75

$0

$112.50

$112.50

LF - Stationary Reader

20

$600

$0

$12,000

$12,000.00

LF - Handheld Reader

10

$100

$0

$1,000

$1,000.00

1

$1,500

$1,000.05

$499.95

Supplies Subtotal
USAHerds

1

$5,000

$0

$5,000

Contractual Subtotal
USAHA

1

$300

$0

$300

$300.00

1

$300

$0

$300

$300.00
$600.00

TOTAL DIRECT COSTS
TOTAL PROJECT COSTS

$5,000.00

$5,000.00

USAHA Registration

INDIRECT COSTS

$1,500.00
$17,225.00

Other Subtotal

Totals

$5,300.00
$5,300.00

Dell

Registration
Other

$5,588.25

Chute

$187,154.85
Total Personnel

28.00%

$32,323

$32,323.20
$219,478.05

Less Cooperator Share

$1,000.05

APHIS Cost Share

$218,478.00

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Appendix 8: Umbrella Financial Plan Example
**Financial Plan must match SF-424A, Section B**
Cost
Category

Item Description

Quantity

5 Field Inspectors (2,080 hours per Inspector)

Personnel

APHIS
Share

Total
Budget

$11

$22,880.00

$91,520.00

$114,400.00

1 State Field Supervisor @ 3/4 FTE

0.75

$42,528

$6,379.20

$25,516.80

$31,896.00

1 Clerical for 52 weeks @ 2 hr/wk

104

$10

$208.00

$832.00

$1,040.00

1,040

$13

$2,704.00

$10,816.00

$13,520.00

$32,171.20

$128,684.80

$160,856.00

33% of salary of permanent employees

33%

$9,724.00

$38,897.00

$48,621.00

24% of wages of temporary employees

24%

$649.00

$2,596.00

$3,245.00

$10,373.00

$41,493.00

$51,866.00

5 Field Inspectors at 400 mi/wk for 39 wk at
$0.365/mi
1 Field Supervisor at 500 mi/wk for 52 wk at
$0.365/mi
Travel

Recipient
Share

10,400

1 Temp Clerk @ 20 hr/wk for 52 weeks

Fringe
Benefits

Rate

78,000

0.365

$5,694.00

$22,776.00

$28,470.00

26,000

0.365

$1,898.00

$7,592.00

$9,490.00

2

$1,625.50

$650.20

$2,600.80

$3,251.00

$8,242.20

$32,968.80

$41,211.00

$1,060.00

$4,240.00

$5,300.00

$1,060.00

$4,240.00

$5,300.00

$161.60

$646.40

$808.00

$157.00

$628.00

$785.00

$224.00

$896.00

$1,120.00

$542.60

$2,170.40

$2,713.00

$1,000.00

$4,000.00

$5,000.00

$1,000.00

$4,000.00

$5,000.00

$120.00

$480.00

$600.00

$120.00

$480.00

$600.00

Total Direct Costs

$53,509.00

$214,037.00

$267,546.00

Indirect Costs (28% of Total Direct Costs)

$14,983.00

$59,930.00

$74,913.00

Total Project Costs

$68,492.00

$273,967.00

$342,459.00

Annual USAHA meeting in Minneapolis, MN
($1,000 airfare; $39 per diem*4.5 days; $100
lodging*4 nights; $50 misc)*2 Attendees

Back-up Generator, Quiet Series

1

$5,300

Equipment

Office supplies
Brochures
Supplies

Disposable Biosecurity Suits for Inspection
Visits
Animal Diagnostic Lab Testing

3-day
supply
500

$10

Contractual

USAHA Registration

2

$300

Other

Totals

Appendix 9: Instructions on Signing a Form in Microsoft Excel
The following instructions only apply to the Software Enhancement Form tab of the ADT Workbook.
To sign a form in Excel, follow these instructions:
1. In the worksheet, select the cell where you want to create a signature line.
2. On the Insert tab, in the Text group, click the Signature Line list, and then click Microsoft Office Signature Line.
49 | P a g e

3. In the Signature Setup dialog box, type information that will appear beneath the signature line:

o
o
o
o

Suggested signer: The signer's full name.
Suggested signer's title: The signer's title, if any.
Suggested signer's e-mail address: The signer's e-mail address, if needed.
Instructions to the signer: Add instructions for the signer, such as "Before signing the document, verify
that the content is correct."
4. Select one or both of the following check boxes:
o Allow the signer to add comments in the Sign dialog box: Allows the signer to type a purpose for
signing.
o Show sign date in signature line: The date the document was signed will appear with the signature.
Tip: To add additional signature lines, repeat these steps.
NOTE: If the document remains unsigned, the Signatures Message Bar appears. Click View Signatures to complete the
signature process.

5. Sign the signature line in Excel
o When you sign a signature line, you add a visible representation of your signature and a digital
signature.

1. In the file, right-click the signature line.
NOTE: If the file opens in Protected View, click Edit Anyway, if the file is from a reliable source.
2. From the menu, select Sign.
o To add a printed version of your signature, type your name in the box next to the X.
o To select an image of your written signature, click Select Image. In the Select Signature
Image dialog box, find the location of your signature image file, select the file that you
want, and then click Select.
NOTE: In addition, you can sign a signature line by double-clicking the signature line. Type your name next to the X. Or,
in the Signature Pane, in the Requested Signatures section, click the arrow next to the signature. From the menu,
select Sign.
o To add a handwritten signature (Tablet PC users only), sign your name in the box next to
the X by using the inking feature.
o Click Sign.
o The Signatures button appears at the bottom of the document or worksheet.
The following image shows the Signatures button.

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Appendix 10: Application Process
This appendix includes additional details regarding the documentation Recipients may need to provide when applying
for Federal financial assistance.
Forms attached to the application packet in eFG must be physically or electronically signed. Typed signatures will not be
accepted. In addition, please complete the Representations and Certifications (financial portion) in SAM when renewing
the yearly registration.
1. SF-424, Application for Federal Assistance: This information will be entered directly into eFG by the Recipient.
Ensure Recipient’s address and UEI number is consistent with the information listed in SAM. Also, please make
sure the Recipient’s SAM registration is ACTIVE.
2. SF-424A, Budget Information – Non-Construction Programs: This information will be entered directly into eFG
by the Recipient. Section B (object class categories) should be supported by a detailed Financial Plan for each
cost category.
3. Certification Regarding Lobbying (for Cooperative Agreements exceeding $100,000): If applicable, this
document will need to be attached in eFG when the application is submitted.
4. SF-LLL, Disclosures of Lobbying Activities (for Cooperative Agreements 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.
5. Indirect costs are negotiated by the Recipient and their cognizant agency for indirect costs (2 CFR Part 200.1).
The cognizant agency is the Federal agency that provides the most Federal funds to the Recipient. The result of
this negotiation is a Negotiated Indirect Cost Rate Agreement (NICRA). A signed NICRA needs to be attached
to the application in eFG if indirect costs are assessed. When a Cooperative Agreement budget/funding period
does not coincide with the same period for which the rate was established, it may be necessary to use two
different rates in computing the amount of indirect costs applicable to the Cooperative Agreement budget. If a
new rate has been negotiated, then attach a copy of the signed NICRA to the applicable Financial Report
submission. 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 Cooperative Agreement period of performance, then
adjustments to the claims are required to reflect the establishment of the final or fixed rates.
Recipients, except for state and local government entities that receive more than $35 million in direct Federal
funding each year, that have an expired NICRA or who have never had an approved rate, can use a de minimis
rate of 10 percent of modified total direct costs pursuant to 2 CFR Part 200.414 (f). If a Recipient is interested
in applying for a de minimis rate, then please reach out to your FiOps Grants Specialist.
The Agricultural Appropriations bill places a statutory cap of 10 percent on indirect costs that can be claimed on
Cooperative Agreements with nonprofit organizations. This does not apply to Grants. When the statutory cap
applies, APHIS cannot pay indirect costs in excess of 10 percent of the total direct costs of the Cooperative
Agreement. If the Recipient’s NICRA rate when applied is less than 10 percent of total direct costs, then the
Recipient NICRA applies.
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 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.
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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.
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 be 30% x $70,000 = $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 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 fringe
benefits, 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.
6. All VS funding (CFDA 10.025) is subject to Executive Order 12372, “Intergovernmental Review of Federal
Programs.” Names and addresses of States’ Single Point of Contact (SPOC) are listed on the Office of
Management and Budget’s home page.
For those Recipients that have this process in their State, submit your application to the SPOC. A copy of the
SPOC waiver or approval letter, which should include the State Application Identifier (SAI) number, should be
attached to your application in eFG. Failure to meet this requirement may result in your application being
returned.
7. For additional information on the Pre-Award Letter Request, please refer to Section 1, Period of Performance.

Appendix 11: Program Reports
Refer to the DIS User Guide for Avian Health Surveillance Testing Reports
Sheep/Goat RSSS and Non-RSSS Activities for the Reporting Period
NOTE: Cattle Health Data Reporting will be coordinated with the AVIC/PM

Appendix 12: Workflows
This appendix includes charts that outline workflows for Federal financial assistance awards. The charts have been
color coded for VS use only.

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Awarding Process

The flow chart above outlines the awarding process. Once the Workbook has been approved, an Opportunity will be
drafted by FiOps. The Recipient will be notified to apply to the Opportunity by email. The Recipient will apply to the
Opportunity by submitting the SF-424 packet in eFG and attaching the Lobbying documents, SPOC Letter, and/or NICRA
as applicable. FiOps will review the application and send a notification of approval or return the application to the
Recipient for revision. Simultaneously, FiOps will conduct a risk assessment which includes checking the Recipient’s
Single Audit and their record in SAM and the Federal Awardee Performance and Integrity Information System. Once
the application is approved, this will trigger the Cooperative Agreement document to be created.

Application Workflow

The flow chart above illustrates the steps an application for Federal funding will go through for approval. The first step
is to submit the application within eFG. Once the application is submitted, it routes to the FiOps Grants Specialist for
review and approval. Once the application is approved by the FiOps Grants Specialist, it is then routed to the AVIC/PM
for approval.

Cooperative Agreement Workflow

The flow chart above illustrates the steps a Cooperative Agreement goes through after the application has been
approved. The first step is for the system generated Cooperative Agreement to be completed by the FiOps Grants
Specialist. Then, it routes to the AVIC/PM for approval. After AVIC/PM approval, the Cooperative Agreement routes to
the Recipient SO for approval and signature. Once the Cooperative Agreement is signed by the Recipient SO, it routes
to the FiOps SO to approve and sign. In the last step, the Cooperative Agreement routes to the APHIS Financial
Approver to accept it before it becomes active in eFG; this generates the Award Face Sheet that is automatically sent
out from eFG.

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Claim Workflow

The flow chart above illustrates the steps a claim goes through before it is paid. Claims are created and submitted in
eFG. The first step is for an individual from the Recipient organization to create the claim and attach any necessary
documentation within eFG. Once the claim is created, it is sent to the Recipient Certifying Official designated in the
claim when it was drafted to sign and submit forward. After the claim is submitted, it is reviewed and signed by the
AVIC/PM. Once the claim is approved by the AVIC/PM, it is routed to the FiOps Grants Specialist to review and
approve. After the claim is approved by the FiOps Grants Specialist, it is routed back to the AVIC/PM for final approval.
Once final approved, payment for the claim issued.

Performance/Financial Report Workflow

The flow chart above illustrates the steps a Performance or Financial Report will go through for approval. Reporting
templates are generated automatically in eFG. The Recipient GAO or GP completes the report and attaches any
necessary documentation. The report is then routed to the Recipient Certifying Official designated in the report for
approval. After the report is approved by the Recipient Certifying Official, it routes to the AVIC/PM for approval.

Amendment Workflow

The flow chart above illustrates the steps an amendment may go through for approval within eFG. Amendment steps
may take place outside eFG first, such as requests to change scope or budget shifts. Please note, not all amendments
require all of these approvals. After the Recipient submits an amendment request and it is approved, the FiOps Grants
Specialist creates the amendment in eFG and routes it for AVIC/PM approval. Once the amendment is approved by the
AVIC/PM, it routes to the Recipient SO for approval and signature. Once the amendment is signed by the Recipient SO,
it routes to the FiOps SO to approve and sign. In the last step, the amendment routes to the APHIS Financial Approver
to accept it before it becomes active in eFG.

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