Forms & Certifications : USDA ARS

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Forms & Certifications

Certifications

Registration in the System for Award Management (SAM) is required for eligibility for a Federal award. Registrations must be updated annually by Federal recipients.

Effective, February 1, 2020, SAM became the central repository for common government-wide certifications and representations required for Federal recipients. This eliminated the need for Federal recipients to complete forms & certifications for each Federal award. ARS, ERS and NASS will use current SAM certifications and representations to comply with award requirements.

USDA Certifications. The following USDA certifications are required when Certifications and Representations have not been made in SAM. The links to the forms in the table below will take you to the USDA Electronic Forms page (https://www.usda.gov/forms/electronic-forms). At the USDA Electronic Forms page, scroll down to search for the Prefix-Form No, then download the form(s) for completion.
Prefix Form No	Subject
AD-1047	Certification Regarding Debarment, Suspension, and Other Responsibility Matters - Primary Covered Transactions
AD-1048	Certification Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion - Lower Tier Covered Transactions
AD-1049	Certification Regarding Drug-Free Workplace Requirements (Grants) Alternative I - For Grantees Other than Individuals
AD-1050	Certification Regarding Drug-Free Workplace Requirements (Grants) Alternative II - For Grantees Who are Individuals
AD-1052	Certification Regarding Drug-Free Workplace State and State Agencies, Federal Fiscal Year
AD-3030	Representations Regarding Felony Conviction and Tax Delinquent Status for Corporate Applicants

ARS Certifications.
Doc	Subject
PDF	Conflict of Interest Policy for ARS, ERS & NASS

OMB Lobbying Forms.
Prefix Form No	Subject
OMB 4040-0013 V1.1	Certification Regarding Lobbying Every time a potential recipient applies for or receives a grant or cooperative agreement in excess of $100,000, it must file a written certification that states that no Federal funds have been paid for lobbying.
OMB 4040-0013 SF-LLL-V2.0	Disclosure of Lobbying Activities Used by applicants and recipients to disclose lobbying activities that have been secured to influence the outcome of a Federal action.

Forms

Pre-Award Forms:

Form	Title/Description
OMB No. 4040-1010	Project/Performance Site Location(s)– this OMB form provides the Agency “Place of Performance” information
REE-26	Organization Information, Representations, Assurances and Certifications
AD 3030	Representations Regarding Felony Conviction and Tax Delinquent Status for Corporate Applicants

Management and Financial Reports -

Form	Description
REE-157 XLS	RSA Management Report Template - for Research Support Agreements (originally ARS-157)
RPPR PDF	Research Performance Progress Report (RPPR) - The RPPR has been mandated by the Federal Office of Management and Budget and coordinated by the National Science Foundation.
REE-269 PDF XLS	Cooperative Agreement Financial Status Report, dated 1/2018. Previous versions are obsolete. - Can be used for Non-Assistance Cooperative Agreements awarded prior to 10/8/2016.
SF-425	Federal Financial Report - applicable for all awards. - When used by the non-Federal entity for Non-Assistance Cooperative Agreements, refer to 7 CFR part 550, 550.123(a) for financial reporting conditions (“a financial report must contain an itemization of actual dollar amounts expended on the project during the reporting period (in line with the approved budget), and cumulative totals expended for each budget category from the start date of the award.”).

Form

Description

REE-157

RSA Management Report Template - for Research Support Agreements (originally ARS-157)

RPPR

Research Performance Progress Report (RPPR)

- The RPPR has been mandated by the Federal Office of Management and Budget and coordinated by the National Science Foundation.

REE-269

Cooperative Agreement Financial Status Report, dated 1/2018. Previous versions are obsolete.

- Can be used for Non-Assistance Cooperative Agreements awarded prior to 10/8/2016.

SF-425

Federal Financial Report - applicable for all awards.

- When used by the non-Federal entity for Non-Assistance Cooperative Agreements, refer to 7 CFR part 550, 550.123(a) for financial reporting conditions (“a financial report must contain an itemization of actual dollar amounts expended on the project during the reporting period (in line with the approved budget), and cumulative totals expended for each budget category from the start date of the award.”).

Payment/Reimbursement -

Form	Description
SF-270 (OMB No. 4040-0012)	SF-270 Request for Advance or Reimbursement

Form

Description

SF-270

(OMB No. 4040-0012)

SF-270 Request for Advance or Reimbursement

Budget -

Form	Description
OMB No. 4040-0001	Grants.gov Research & Related Budget (Total Fed + Non-Fed) - Acceptable for use with Non-Assistance Cooperative Agreements
OMB No. 4040-0001	Grants.gov Research & Related Budget 3.0 - Acceptable for use with Grant Agreements and Cooperative Agreements
REE-455	Grant and Cooperative Agreement Budget, dated 11/2018. Previous versions are obsolete.
REE-454	Non-Assistance Cooperative Agreement Budget, dated 11/2018. Previous versions are obsolete.

Tangible Personal Property Report -

Form	Description
SF-428-B	Report Form and Instructions (2 pages, 29 kb)
SF-428-C	Disposition Request/Report (2 pages, 27 kb)
SF-428-S	Supplemental Form and Instructions (2 pages, 26 kb)

Other Documents -

Form

Description

AD-475-C

“AND JUSTICE FOR ALL” Poster

The "And Justice For All" Civil Rights poster (AD 475C; Sep 2006) is to be prominently displayed in all offices where there is a ARS, ERS, or NASS presence. The poster should be placed where it may be viewed by employees and customers.

Recipients of federally-assisted programs and non-assistance cooperative agreements, such as land-grant institutions, are required to display this poster in their facilities where it can be viewed by customers.