AQUACULTURE AND FISHERIES COLLABORATIVE RESEARCH SUPPORT PROGRAM …pdacrsp.oregonstate.edu/afcrsp/Files/POP Manual.pdf · AQUACULTURE AND FISHERIES COLLABORATIVE RESEARCH SUPPORT

AQUACULTURE AND FISHERIES COLLABORATIVE RESEARCH SUPPORT PROGRAM

POLICY AND OPERATING PROCEDURES

Draft August 2008

AquaFish CRSP Oregon State University

418 Snell Hall Corvallis, OR 97331-1643

USA

[email protected]

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Contents

ACRONYMS 1

PROGRAM BACKGROUND, GOAL, MISSION, AND OBJECTIVES 3

PURPOSE AND AUTHORITY OF THE POLICY AND OPERATING PROCEDURES 3

PROGRAM LEADERSHIP 4 Management Entity and Program Management Office 4 Advisory Bodies 5 External Program Advisory Council 5 Emerging Issues Panel 6 Internal Advisory Groups 6 PROJECT DESIGN AND IMPLEMENTATION 8 Implementation Plans 8 Global Themes 9 Topic Areas 9 Program Regions 10 Program Regions 10 Rules of Conduct 10 Investigations 11 Research Priorities 12 Administrative Structure for Projects 12 US Lead Institutions 12 Host Country Institutions 12 Subcontracts 13 Memoranda of Understanding 13 Procedures for Enacting Organizational Changes 14 Creating New AquaFish CRSP Projects 14 Adding, Deleting, or Substituting a US Institution 14 Adding or Deleting a Host Country Project 14 Changing a US Principal Investigator 14 Changing a Host Country Principal Investigator 15

PROGRAM POLICIES AND OPERATING PROCEDURES 15 Cost Sharing 15 Lobbying Restrictions 15 Travel 15 Domestic Travel 16 International Travel without Mission Contact 16 Emergency Preparedness 16 Trip Reports 17 Equipment 17 Reporting and Publication Policies 17 Financial Reporting 17 Performance Reproting 17 Publication Guidelines 17 Guidelines for Specific Publications Avenues 19 Marking Requirements of USAID funded sites 20 Impact Monitoring 21 Reimbursement Procedures 21 Training Guidelines 22 Participant Training 22 Training Activities Report 23

AquaFish CRSP Policy and Operating Procedures – Draft: March 2008

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APPENDICES Appendix 1. Work Plan Change Form 24 Appendix 2. International Travel Request Form 25 Appendix 3. Emergency Locator Form 26 Appendix 4. Equipment Purchase Request Form 27 Appendix 5. Quarterly Reporting Form 28 Appendix 6. Reporting Guidelines 37 Appendix 7. Style Guide For CRSP Reporting 41 Appendix 8. Contractual Reporting Requirements 44 Appendix 9. Other Program Publications 45 Appendix 10. Training Work Plan 46


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Acronyms

AquaFish CRSP Aquaculture and Fisheries Collaborative Research Support Program ADS Automated Directive System AMR Administrative Management Review BIFAD Board for International Food and Agricultural Development COI Conflict of Interest CRSP Collaborative Research Support Program CTO Cognizant Technical Officer (USAID) DAC Development Assistance Committee EdOp Net Educational Opportunities Network EIP Emerging Issues Panel EPAC External Program Advisory Council FAO Food and Agriculture Organization, United Nations FY Fiscal Year FTE Full-Time Equivalent HACCP Hazard Analysis and Critical Control Point HC Host Country IEHA Initiative to End Hunger in Africa IP Intellectual Property ISTA International Symposium on Tilapia in Aquaculture IR Institutional Representative(s) IWMI International Water Management Institute (an IARC) JCARD Joint Committee on Agriculture Research and Development LOE Level of Effort LWA Leader with Associate ME Management Entity MO Management Office MOU Memorandum of Understanding MSY Maximum Sustainable Yield NARS National Agricultural Research System (of Host Countries) NGO Non-governmental Organization NICRA Negotiated Indirect Cost Recovery Agreement NOAA National Oceanographic and Atmospheric Administration (US) OAA Office of Acquisitions and Assistance OECD Organization for Economic Co-operation and Development OMB Office of Management and Budget OSU Oregon State University PD Program Director PE Planning Entity P&P Policy and Procedures PI Principal Investigator RFA Request for Assistance RFP Request for Proposals SF Standard Form SOW Scope of Work SPARE Strategic Partnership for Agricultural Research and Education TA Technical Application US United States USAID United States Agency for International Development USDA United States Department of Agriculture WAS World Aquaculture Society


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PROGRAM BACKGROUND, GOAL, MISSION, AND OBJECTIVES

The AquaFish CRSP mission is to create global partnerships that develop comprehensive, sustainable, ecological and socially compatible, and economically viable aquaculture systems and innovative fisheries management systems in developing countries that contribute to poverty alleviation and food security. Great progress has been made over the past twenty years in increasing fish production through aquaculture, yet challenges still face the sector in terms of pressures from global trade, environmental impacts, water use conflicts, and distribution of and access to benefits. The capture fisheries sector, which supplies the major share of the world’s fishery products, is also experiencing great challenges that must be overcome for the sustainable management of fish stocks and livelihood security of fishing communities. The AquaFish CRSP focus is aquaculture and the nexus between aquaculture and fisheries, targeting high priority constraints facing poorer countries. The global portfolio is framed around four themes that each target one or more of USAID’s focal areas for development results:

1) Improved Health and Nutrition, Food Quality, and Food Safety of Fishery Products.

2) Income Generation for Small-Scale Fishers and Farmers.

3) Environmental Management for Sustainable Aquatic Resource Use.

4) Enhanced Trade Opportunities for Global Fishery Markets.

Areas of inquiry address critical constraints and emerging issues, for which the AquaFish CRSP can build synergies and avoid duplication with other development efforts. AquaFish CRSP projects offer a comprehensive systems approach and addresses USAID’s cross-cutting elements (e.g., gender, biodiversity, and capacity building).

The AquaFish CRSP is one of a family of nine CRSPs. CRSPs are collaborating US universities and institutions that in turn collaborate with similar institutions in developing countries with the goal of providing long term support to solve food problems of these countries and to develop their agricultural systems. The AquaFish CRSP is funded by the United States Agency for International Development (USAID) under authority of the Foreign Assistance Act of 1961 (PL 87-195) as amended and by the universities and institutions that participate in the AquaFish CRSP. This cohesive program of research is carried out in selected developing countries and the United States by teams of US and host country researchers, administrators, and students. A Cognizant Technical Officer (CTO) is assigned to represent USAID. The CRSP organizational structure includes the Management Office (MO) which serves as the operational administrative unit of the program’s Management Entity (ME), at Oregon State University (OSU). Administrative advisory groups, which are important to AquaFish CRSP functions, include an Emerging Issues Panel (EIP) and External Program Advisory Council (EPAC).

PURPOSE AND AUTHORITY OF THE POLICY AND OPERATING PROCEDURES The purpose of the Policy and Operating Procedures Manual is to provide operational guidelines on management and administrative procedures of the Aquaculture and Fisheries CRSP for AquaFish CRSP participants. Authority for Policy and Operating Procedures for the AF CRSP is contained in Leader with Associates Cooperative Agreement No. EPP-A-00-06-00012-00 (The Agreement) from USAID to the AquaFish CRSP Management Entity, Oregon State University. The agreement document contains the Schedule, Program Description, Standard Provisions, Special Provisions, Marketing Plan and Branding Strategy, and USAID Eligibility rules. This agreement authorizes the AquaFish CRSP from September 30, 2006 to September 29, 2011.


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Policy and operating procedures will be updated on an as-needed basis over the course of the award in order to inform AquaFish CRSP participants of changes that impact project management, such as new USAID policies or altered special or standard provisions. In the case of discrepancies between the Policy and Operating Procedures and the Award (Leader with Associates Cooperative Agreement No. EPP-A-00-06-00012-00), the Award document takes precedence.

PROGRAM LEADERSHIP

Management Entity and Management Office Primary management responsibilities for the AquaFish CRSP are vested in Oregon State University, called the “Management Entity” (ME). The ME is the institution with the legal status of a juridical body that administers the grant from USAID and manages the total research program. Among the ME’s functions are the following:

• Receives and administers USAID grant funds for the AquaFish CRSP. • Enters into subcontract agreements with participating US and host country

institutions for their respective projects. • Coordinates and leads the development of annual budgets and work plans. • Holds responsibility for the program and is accountable to USAID for all

expenditures. • Establishes a system to facilitate and manage travel. • Reports on the program and represents the AquaFish CRSP in dealings with USAID, and internationally.

Through subagreements, holds participating institutions responsible for programs and accountable for use of funds.

• Develops, with participating institutions, a system for effective management of the program and control and accounting of funds, including matching resources contributed by participating institutions.

The Management Office (MO) carries out ME functions at OSU. As the decision-making body on fiscal and programmatic matters, the MO is advised in this function by the Emerging Issues Panel (EIP) and External Program Administrative Council (EPAC). The ME nominates a Director to administer the AquaFish CRSP. USAID approves the nomination, and the Director is appointed as a faculty member of the ME. Operating costs for the CRSP are provided through the Agreement. Among the activities carried out by the MO are the following:

• Administer in both fiscal and programmatic terms the research program. • Allocate resources for research among disciplines and institutions, maintaining balance between US and

overseas research activities, in a manner most appropriate for cost-effective transparent achievement of goals. • Develop RFPs to solicit proposals in an open competition; facilitate peer review without conflict of interest;

select winning proposals in a transparent manner. • Prepare and submit annual and other reports to USAID in a timely manner as required in the grant document. • Develop and carry out a reporting and publication system that will assure appropriate use of research findings

of the AquaFish CRSP overseas and in the US, aimed at diverse audiences. • Work with USAID/Washington, Regional Bureaus, and USAID Missions, NGOs, and representatives of

participating US institutions in confirming tentative site selections and facilitating MOUs and specific programs with annual work plans and budgets in each country.

• Establish an effective working relationship with USAID Washington and field offices, US institutions, TARCs, NGOs, as well as with host country institutions and other stakeholders.

• Coordinate and provide creative leadership and technical direction to planning and implementation of the AquaFish CRSP, especially its overseas components.

• Represent the AquaFish CRSP in specific official contacts within the United States and abroad. • Organize the ME staff to serve as secretariat for the EPAC, with minutes to be taken and recorded. • Nominate members for the EPAC, considering recommendations of participating institutions, and other

sources; obtain clearances of nominations USAID. • Describe functions for a strong role for the EPAC and the manner for its operation, with schedules to keep it

informed and to facilitate its work, assuring thorough evaluations and reports. • In coordination with the participating US institutions, prepare, manage, and evaluate annual budgets and work

plans for research, training, and outreach.


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• Develop sub-agreements with participating institutions; develop other agreements where necessary to supplement the technology or expertise from other sources when not available in AquaFish CRSP member institutions.

• Establish a system for advanced planning and control of travel, utilizing the control systems available to participating institutions.

• Arrange for meetings among personnel of AquaFish CRSP US and host country institutions as necessary with due consideration of cost factors.

The Director administers the AquaFish CRSP through the MO and appoints staff as needed for overall leadership and implementation of the AquaFish CRSP.

Program Management Office Staff Oregon State University, Corvallis, Oregon

• Hillary Egna, Director • Dwight Brimley, Office/Business Manager • Bernie Kepshire, Research Projects Manager • James Bowman, Outreach and Capacity Building Coordinator

United States Agency for International Development Washington, DC Harry Rea, Cognizant Technical Officer

Advisory Bodies

External Program Advisory Council (EPAC) – provides advice to the ME on global program direction; provides input into AquaFish CRSP Requests for Proposals; provides annual critiques of research projects during annual or regional meetings to assist the ME in gauging performance; identifies gaps and issues emergent from the global portfolio as projects are implemented; participates in the programmatic review process for proposals on an as needed basis provided there are no conflicts of interest; provides information on potential linkages with others (FAO, WB, NGOs, IARCs, etc). The EPAC is a policy-setting programmatic advisory panel. Annual EPAC critiques are sent to USAID for review, and subsequently made available to program participants. The panel is composed of specialists who are external to the program. Panel members are drawn from the international aquatic resources community. The members are selected so that collectively they will cover the substance of the AquaFish CRSP, including socioeconomic factors that can influence research and adoption of technology generated from research. Its current members are:

• Marcia F. Macomber, Challenge Program on Water and Food, IWMI, Sri Lanka • Aaron McNevin, Maryland, USA ` • Nathanael Hishamunda, UN Food and Agriculture Organization (FAO), Rome • Christine Crawford, University of Tasmania, Australia

EPAC members will not undertake program evaluations, as these will fall under the authority and responsibility of USAID and be conducted during the fourth year of operations. EPAC members are not paid for their services, but their travel costs are covered by the ME in accordance with State and Federal regulations. EPAC members may rotate off the Council after serving for three years. EPAC members must resign from the Council if they develop a conflict of interest – for example, participating in a funded CRSP project activity. Most, though not all, EPAC members will come from government, NGOs, IARCs, and other donor agencies. The ME will seek CTO concurrence for any new EPAC members. The EPAC meets as necessary to plan activities and develop recommendations. The EPAC and MO jointly plan EPAC meetings. Any action required by the EPAC may be taken by mail ballot or poll by phone. Such consent has the same force and effect as an action duly adopted at a meeting of the EPAC. A simple


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majority of the members present is required for all EPAC decisions. Votes (yes, no, or abstain) are recorded. Emerging Issues Panel (EIP) The EIP provides scientific advice from across the broad spectrum of aquaculture, fisheries, and water resources sectors to the AquaFish CRSP Management Team. EIP members are Oregon State University faculty and will volunteer their time to serve on the panel. In addition to the CRSP Management Team, the EIP provides a scientific resource to USAID from OSU. EIP members will not be engaged in CRSP activities to avoid conflicts of interest and are not considered CRSP staff. Additional members will be drawn as needed from various disciplines. Rotations of advisory personnel are expected over the 5-year award, and safeguards will be taken to eliminate conflicts of interest. The EIP is a non-voting, non-policy setting technical advisory panel. The current panel members are listed below:

• Aaron Wolf, water policy and resource conflicts, Geoscience Department • Richard Johnston, Agricultural and Resource Economics, Professor Emeritus Economics • Michael Morrissey, Director, OSU Agricultural Experiment Station – Seafoods

Laboratory • Michael Campana, Director of the Institute for Water and Watersheds Institute • Flaxen Conway, Extension Community Outreach Specialist, Sea Grant Extension • and Sociology Department • Robert T. Lackey, Special Assistant for Salmon Research, US. EPA and Department of

Fisheries and Wildlife • Gil Sylvia, Superintendent Coastal Oregon Marine Experiment Station. • David Noakes, Department of Fisheries and Wildlife and Senior Scientist and Director

Oregon Hatchery Resource Center AquaFish CRSP Internal Advisory Groups Internal advisory groups are formed only after competitive awards are made to prevent conflicts of interest. Each CRSP project and its US and Host Country Principal Investigators are assigned to at least one Regional Center of Excellence and one Development Themes Advisory Panel, and participate in voting and performance-reporting. Private sector, NGO, and other non-awardee stakeholders can become ex-officio members of the centers. The USAID CTO has input into the selection of lead coordinators for internal advisory groups and is invited to participate on all CRSP internal and external advisory group meetings. Internal advisory groups are not engaged in the competitive proposal review process.

The main emphases of the two internal technical advisory groups is to build community among all CRSP participants; identify potential additional partnerships with the public and private sector, NGOs, USAID, and others; and bridge the knowledge gap from local-regional perspectives to global development outcomes.


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Internal advisory groups are established using performance-based standards to develop rules of conduct; empower team members; identify stakeholders and nurture consensus; develop and maintain the knowledge base over the life of the program; offer incentives and link project performance to program-based performance criteria. The groups are charged with integrating cross-cutting needs across regions and themes. Cross-cutting needs include building capacity, training, and strengthening institutions for end-users, Host Country decision-makers, USAID staff, and other stakeholders, particularly women and underrepresented groups. The two internal technical advisory groups work closely together. Regional Centers of Excellence (RCE) – provide technical advice on emerging issues and gaps in the portfolio from a regional perspective. Centers develop useful materials for Missions, other regional stakeholders and end-users, and gauge opportunities for collaboration based on regional or national needs. There are three centers, and each coordinates activities within a specified region: Asia, Africa, and Latin America/Caribbean. The center for Africa also coordinates, synthesizes, and reports on activities related to IEHA goals. Additional RCEs may be added depending on the portfolio of projects funded through Leader and Associate Awards. Lead coordinators (one for each center) take an active role in integrating Associate Award partners into the portfolio and in managing any Associate Awards that fall under its purview. Lead coordinators also assist the ME in cases where a screening process is required in advance of an Initial Environmental Examination.

Development Themes Advisory Panel (DTAP) – provides technical advice on emerging issues and gaps in the portfolio from a thematic perspective. The four panels are aligned with the four themes: Improved Health and Nutrition, Food Quality, and Food Safety of Fishery Products; Income Generation for Small-Scale Fishers and Farmers; Environmental Management for Sustainable Aquatic Resource Use; and Enhanced Trade Opportunities for Global Fishery Markets mentioned. Lead coordinators of the thematic panels assist the ME to integrate cross-cutting needs identified by USAID, but add additional emphases on conserving biodiversity; preventing further degradation of aquatic ecosystem health; reducing poverty among small-scale farmers and fishers; maintaining and restoring capture fisheries productivity; developing IPM strategies; improving soil-and-water quality; and using biotechnology approaches cautiously. The four DTAP panels gather information for reporting on biodiversity and biotechnology for USAID. The lead coordinators are also responsible for reviewing annual reports, recommending project adjustments in cases where research is curtailed for various reasons (e.g., laboratory equipment malfunction; poaching; etc); performing assessments; and working together to provide quality information for thematic synthesis and lessons learned reporting. The DTAP


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recommends policies for technical hot-issues, e.g., certification for organic standards, biotechnology applications, and toxics standards for fish consumption.

Private Sector Representatives – serve on both the Regional Centers of Excellence and Development Themes Advisory Panels. Industry representatives are asked for information on private sector solutions to problems and constraints facing the aquaculture and fisheries sectors. Private sector integration into these groups is preferred over a stand-alone industry group due to the global nature of the program and possibilities for unbalanced views of the sector’s needs. AquaFish CRSP cannot be perceived to be supporting one company over the interests of another. However, with safeguards in place for avoiding conflicts – such as annual service rotations, non-proprietary results sharing – industry, grower organizations, feed companies, trade organizations, and other private sector representatives participate on AF CRSP technical advisory panels. Private industry representatives are not paid or reimbursed for their travel or participation.

PROJECT DESIGN AND IMPLEMENTATION

The overall CRSP is managed in a manner to achieve maximum program impacts, particularly for small-scale farmers and fishers, in Host Countries and more broadly. CRSP program objectives address the need for world-class research, capacity building, and information dissemination. Specifically, the AquaFish CRSP strives to:

• Develop sustainable end-user level aquaculture and fisheries systems to increase productivity, enhance international trade opportunities, and contribute to responsible aquaticresource management;

• Enhance local capacity in aquaculture and aquatic resource management to ensure long-term program impacts at the community and national level;

• Foster wide dissemination of research results and technologies to local stakeholders at all levels, including end users, researchers, and government officials; and

• Increase Host Country capacity and productivity to contribute to national food security, income generation, and market access.

The AquaFish CRSP Implementation Plan 2007-2009 provides six brief project summaries along with descriptions of each project’s investigations to be undertaken through July 2009. Projects are authorized for 30 months, ending 30 September 2009. The overall research context for these projects is poverty alleviation and food security improvement through sustainable aquaculture development and aquatic resources management. Research that generates new information forms the core of Projects. Projects also include institutional strengthening, outreach, and capacity building activities such as training, formal education, workshops, extension, and conference organizing to support the scientific research being conducted. The six research projects that form the foundation of the Implementation Plan were selected in response to the first AquaFish Request for Proposals. The RFP was released and widely distributed in November 2006 by Oregon State University, which serves as Lead Institution for the overall AquaFish CRSP. Throughout the RFP period, which closed on 30 January 2007, OSU updated its matchmaking service and FAQ on the RFP-website. Nineteen eligible proposals were competitively reviewed following an NSF-style external peer-review process in March 2007; finalists were then further reviewed by USAID. The RFP and supporting documentation can be found at: http://pdacrsp.oregonstate.edu/afcrsp/rfp/. The six projects represent all of the key regions, themes, and topic areas called


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for in the RFP. As a group they include 13 countries, 12 US universities, and over 20 HC institutions in formal funded partnerships, plus more than 70 additional collaborators in informal partnerships. The 6 projects contain 38 investigations accounting for nearly US$2.4m from USAID, not including management costs or other outreach expenditures. Each project additionally provides over 50% in matching funding for each federal dollar received. Global AquaFish CRSP Themes (Goals)

A. Improved Health and Nutrition, Food Quality, and Food Safety B. Income Generation for Small-Scale Fish Farmers and Fishers C. Environmental Management for Sustainable Aquatic Resources Use D. Enhanced Trade Opportunities for Global Fishery Markets

The global themes of the CRSP are cross-cutting and address several specific USAID policy documents and guidelines, including the Policy Framework for Bilateral Foreign Aid, Agriculture Strategy, EGAT Offices of Agriculture and Natural Resource Management Strategic Objectives, and IEHA (Initiative to End Hunger in Africa). The themes also address global initiatives and strategies that relate to the overall program goal. AquaFish CRSP Topic Areas for Research, Outreach, and Capacity Building Thematic projects contain work plans (investigations) organized around a number of specific areas of inquiry called Topic Areas. Projects contain between 5 and 8 investigations. Projects focus on more than one topic area in describing aquaculture research that will improve diets, generate income for smallholders, manage environments for future generations, and enhance trade opportunities. Projects were formed around core program components, as identified by USAID:

• a systems approach • social, economic, and environmental sustainability • capacity building and institution strengthening • outreach, dissemination, and adoption; • gender integration

A systems approach requires that each CRSP project integrate topic areas from both Integrated Production Systems, and People, Livelihoods and Ecosystem Interrelationships. USAID also encourages the CRSP portfolio (the sum of all funded projects) to address biodiversity conservation and non-GMO biotechnology solutions to critical issues in aquaculture. While not every investigation individually addresses each element recommended by USAID, each overall project describes a comprehensive development approach to a problem. Topic Areas pertain to aquaculture and the nexus between aquaculture and fisheries. Some of the following topic areas overlap and are interconnected. Investigations identify a single topic area that best describes each individual investigation. Specific fisheries issues were not funded in the current RFP per guidance from USAID. Research and Outreach Topic Areas: Integrated Production Systems

• Production System Design and Best Management Alternatives • Sustainable Feed Technology • Indigenous Species Development • Quality Seedstock Development


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Research and Outreach Topic Areas: People, Livelihoods, and Ecosystem Interrelationships

• Human Health Impacts of Aquaculture • Food Safety and Value-Added Product Development • Technology Adoption and Policy Development • Marketing, Economic Risk Assessment, and Trade • Watershed and Integrated Coastal Zone Management • Mitigating Negative Environmental Impacts

Program Regions Projects were selected that focused on one USAID-eligible country within a region, but had activities in nearby countries within the same region. Proposed activities received USAID country-level concurrence prior to award. Non-concurrence meant that a project or investigation was not approved for funding, as was the case with an investigation that included Bangladesh. The USAID Mission in Bangladesh did not concur due to perceived management overload; another CRSP was also denied the privilege of working in Bangladesh. Each project site will be described in a separate volume of site descriptions due for completion in 2008. Rules of Conduct Rules of conduct are described in greater detail in each project’s subcontract with the Management Entity and in other program documents. The following subset of rules pertains to each CRSP participant. Fostering Respectful Partnerships: Projects aim to foster linkages with organizations including US minority-serving institutions, non-governmental organizations (NGOs), national agricultural research institutions, other CRSPs, international centers, private businesses, and others are desired. Projects link Host Country researchers from one CRSP site to another CRSP site are encouraged. US and Host Country PIs share in budgetary decisions and overall priority setting for the project, as well as in other collaborative activities related to the CRSP. Proposals, work plans, and project budgets must be developed collaboratively between HC and US researchers. US PIs must actively establish an effective working relationship with the ME and other CRSP US and Host Country PIs and program participants. Memoranda of Understanding: Upon award selection, the Lead US Institution of each project is required to enter into Memoranda of Understanding (MOUs) with institutions at Host Country sites. Subcontracting US institutions under the US Lead institution may also enter into MOUs with HC partners to strengthen institutional relationships and streamline administrative processes. MOUs between Host Country institutions are not discouraged but will not take the place of MOUs between US and Host Country institutions. MOUs must provide the opportunity for other CRSP projects to function under the authority of the agreement and must provide for joint authorship of reports and site visits at the discretion of the CRSP Management Entity. Draft MOUs are submitted to the ME for review prior to execution. The following USAID environmental restrictions apply to the projects and the overall program:

• Biotechnical investigations will be conducted primarily on research stations in Host Countries;

• Research protocols, policies and practices will be established prior to implementation to ensure that potential environmental impacts are strictly controlled;

• All training programs and outreach materials intended to promote the adoption of CRSP generated research findings will incorporate the appropriate environmental recommendations;


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• All sub-awards must comply with environmental standards; • CRSP Projects will not procure, use or recommend the use pesticides of any kind.

This includes but is not limited to algaecides, herbicides, fungicides, piscicides, parasiticides, and protozoacides.

• CRSP Projects will not use or procure genetically modified organisms (GMO); and • CRSP Projects will not use or recommend for use any species that are non-endemic

to a country or not already well established in its local waters, or that is non-endemic and well established but is the subject of an invasive species control effort.

At least 50% of funds must be expended in or on behalf of the Host Country or region. Each project must supply an additional 50% or more of matching funding from participating institutions. Collaborative efforts that involve undergraduate students, graduate students, and post-doctoral fellows are encouraged. CRSP funds will not be used to support US expatriate personnel or consultants, as the CRSP model is intended to build institutional networks and capacities. In furtherance of the Title XII initiative that authorizes all CRSPs, projects must demonstrate return benefits to the US. Under Title XII, CRSP has responsibility to provide mutual benefits and discoveries that can apply to the HC region and US and that will support future development of sustainable aquaculture and fisheries. Investigations Investigations that generate new information form the core of projects. Each investigation is clearly identified as an experiment, study, or activity, based on the following definitions: Experiment A scientifically sound investigation that addresses a testable hypothesis. An experiment implies collection of new data by controlled manipulation and observation. Study A study may or may not be less technical or rigorous than an experiment and may state a hypothesis if appropriate. Studies include surveys, focus groups, database examinations, most modeling work, and collection of technical data that do not involve controlled manipulation (e.g., collection and analysis of soil samples from sites without having experiments of hypothesized effect before collection). Activity An activity requires staff time and possibly materials but does not generate new information like an experiment or a study. Conference organization, training sessions, workshops, outreach, and transformation and dissemination of information are examples of activities. Investigations provide a transparent means for evaluating different types of work under the CRSP, be they quantitative, empirical, biologically based, qualitative, policy-based, or informal. Each project was required to include at least one experiment or study. Projects were also required to include outreach activities such as training, formal education, extension, and conference organizing to supplement the scientific research being proposed. In addition to the investigations presented in Part II of this Implementation Plan, projects also submitted to USAID and the lead US Institution (or Management Entity at OSU):


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• A plan for outreach and dissemination. The CRSP seeks to build capacity of HC

researchers, farmers, and other stakeholders through improved understanding of aquaculture technologies, including soft technologies such as best practices and knowledge-based systems, as well as hard technologies.

• A gender “inclusivity” plan. Projects identified intended beneficiaries, stakeholders, and end-users in each investigation or for their projects in their entirety.

Researchers will provide notice of investigation changes by completing a form (see Appendix 1) to be submitted to the Director. PIs are advised to contact the Director if changes cause the investigation to differ significantly from that of the original approved. As needed, the MO prints an addendum to the implementation plan, detailing the approved plan changes, and distributes it to the AquaFish CRSP community.

Research Priorities All projects address the following general research priorities:

• Priority Ecosystems: Freshwater and brackishwater ecosystems for aquaculture and aquaculture-fishery nexus topic areas; marine ecosystems are also included for the aquaculture-fishery nexus topic areas.

• Priority Species: Low-trophic level fishes; domesticated freshwater fishes; non-finfishes (e.g., bivalves, seaweeds); aquatic organisms used in polycultures and integrated systems; native species. Food fishes are a priority but species used for non-food purposes (e.g., ornamental, pharmaceutical) may also be included as a priority if they are a vital part of an integrated approach towards food security and poverty alleviation.

• Target Groups: Aquaculture farms (small- to medium-scale, subsistence and commercial) andaquaculture intermediaries, policy makers, and others in host countries.

• Key Partners: University, government, non-government, and private sector. Administrative Structure for Projects The general framework governing interaction among the participants of the CRSP is provided by The Agreement, and USAID rules and regulations. More specific requirements are detailed in Memoranda of Understanding (MOU) and subcontracts. Subcontracts are the preferred legal instrument between the ME and another US institution. MOUs are negotiated between US institutions and HC institutions and between units of a single institution.

US Lead Institution Participating Lead Institutions are identified on the basis of their expertise and capacity in specific areas of science and their ability to conduct collaborative research in support of approved objectives. An AquaFish CRSP US Lead Institution may be responsible for implementing one or more investigations within one or more regional projects. US Lead Institutions have a subcontract with the Management Entity (ME) at Oregon State University (OSU). Host Country Institution Participating Host Country (HC) Institutions are identified on the basis of their expertise and capacity in specific areas of science and their ability to conduct collaborative research in support of approved objectives. An HC Institution may be responsible for implementing one or more components and activities within a regional project. HC Institutions have a subcontract with US Lead Institutions. An HC Institution may have sub-contracts with multiple US Lead Institutions.


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Subcontracts The ME enters into subcontracts with each participating US institution. The subcontract obligates funds and passes certain authority and responsibility from the ME to the US participating institution. Through subcontracts each US institution is legally bound to adhere to the guidelines and requirements set forth in The Agreement document. Subcontract appendices contain the work plans, budgets, and subsequent amendments. These appendices are binding inasmuch as they are appended to and made part of the subcontract signed by the appropriate contracts officials of the US lead institution and the ME. Participating institutions certify by entering the subcontract that they have the institutional and human capacity to perform the work described in the subcontract. A subcontractor cannot itself subcontract any portion of a CRSP subcontract to another institution without the explicit and prior approval of the MO. For intra-university projects, MOUs are used in lieu of subcontracts.

Procedure The subcontracting process is initiated by the Director, who informs the subcontractor of the intention to fund a subcontract. Speedy execution of the subcontracting process is ensured by timely submission of the necessary documents by the subcontractor:

• CRSP-approved implementation plan for each experiment, study, and activity proposed • Technology Adaptation and Transfer Strategy; Impact Indicators • Budget (approved by the subcontractor’s university); a separate budget per year and per

investigation • Budget justification • Pending funds form • Conflict of interest form for lead PI(s) • Letter(s) of Interest from partner(s) • Statement of institutional track record and experience in the proposed HC • Plans for characterizing new research sites, as necessary • Institutional supporting information: For all proponents:

• Animal Use Approval (or written waivers) • Human Subjects Approval (or written waivers) • NICRA

For proponents without existing CRSP subcontracts: • Institutional & Agency Certifications and Assurances (for primary US institution only) • CVs for lead PI(s) (not necessary for partners)

If an award has been offered and accepted and all documents have been received by the MO, the Director asks the OSU Contracts Office to write a subcontract. The OSU Contracts Officer forwards the written and signed document through state channels. From there the document is sent to the subcontractor’s Contract Office.

Budget Changes The following categories are considered budget line items: personnel costs, benefits, services and supplies, travel, equipment, and tuition. PIs may move up to 10% of the amount of each budget line item among line items. If a larger change is required, prior approval must be obtained by sending a message to the Director justifying the requested change.

Memoranda of Understanding An MOU is a formal commitment between the CRSP and an HC to engage in collaborative research and institution-building activities. Draft MOUs must be submitted to the CRSP ME for review. Final MOUs will provide for:

• CRSP institutions not explicitly named to participate with the collaborating institution;

• Site visits at the discretion of the AquaFish CRSP Director. • Joint authorship among AquaFish CRSP and collaborating counterparts of any publications,

including reporting.


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They may also contain the following elements: administrative procedures under the CRSP award, recognizing the collaborative research program and its goals; procedures for establishing a research relationship; specifications of project responsibilities of the US lead institution; duration of the project (start and end dates); and reporting requirements.

A lead institution may negotiate a Memorandum of Understanding (MOU) with the HC institution(s) on behalf of other CRSP institutions. The MOU is signed by a representative of the HC government and/or administrators of the HC research institution, and by a representative of the US lead institution. Any number of CRSP projects can be established under each MOU. As needed, memoranda are revised from time to time.

Procedures for Enacting Organizational Changes

During the lifetime of the CRSP and during the period of the award, program priorities may require substantial changes to be made to the research program, such as adding or deleting a research site, moving to another country, or making major changes in the objectives of a project. The CRSP utilizes its normal planning and review process, including input from the EPAC, the MO, and USAID via the CTO when adding, deleting, moving, or substituting a project.

Creating New AquaFish CRSP Projects New AquaFish CRSP projects may be created on an as-needed basis. After having obtained guidance from the CRSP advisory boards, the MO issues an RFP and follows the RFP and subcontracting processes described above.

Adding, Deleting, or Substituting a US Institution Reasons for changes include:

• Completion of project objectives; • Changes in country, regional, or global research priorities; • Performance on the project below an acceptable standard; • Decreased USAID support for the CRSP that requires elimination of program components to

remain viable. Adding or Deleting a Host Country Project The procedure for adding or deleting a host country or HC project is similar to the process described above for a US institution. Input from the EPAC, the MO, and USAID, via the CTO, will be used. Principal Investigators and administrative personnel in the affected country will be involved as appropriate. Reasons for such action include:

• Completion of project objectives; • Changes in country, regional, or global priorities; • Performance on the project below an acceptable standard; • Decreased USAID support for the CRSP that requires elimination of program components to

remain viable; • In-country political changes forcing termination of a project.

Changing a US Principal Investigator When the US Principal Investigator (USPI) of a CRSP project at a US institution terminates her/his role as USPI, the MO must be notified immediately. The US institution will immediately appoint an acting USPI to continue the project on an interim basis in accordance with its description in the Work Plan. Within six (6) months of the termination of the USPI, the US institution must:

• Notify the MO of its interest in continuation of the project; and • Designate (a) new USPI(s). If no suitable USPI can be found, the subcontract may be terminated.


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Changing a Host Country Principal Investigator When a Principal Investigator in a CRSP Host Country (HCPI) project terminates her/his role as HCPI, the Host Country institution will immediately appoint an acting HCPI who will continue the project on an interim or permanent basis in accordance with the project description in the Implementation Plan. The USPI and MO will be notified immediately of the change in appointments.

PROGRAM POLICIES AND OPERATING PROCEDURES

The AquaFish CRSP policies and operating procedures were developed within the context of USAID regulations and award requirements.

Cost Sharing In order to ensure equitable cost-sharing among the CRSP participants, each US subcontractor is required to match all non-exempt activities and to provide documentation about cost-share with each invoice.

Lobbying Restrictions USAID regulations state that funds authorized under this award cannot be used for any lobbying activities.

Travel All travel paid for with AquaFish CRSP funds must be in direct support of CRSP activities. The US or HC Principal Investigator approving travel must have funds budgeted for such travel. Domestic travel requires approval only from the US or HC Principal Investigator.

All international travel (travel that crosses ANY international border) must also be approved by the CRSP Director. In order for an international trip to be approved by the Director, it must be specifically detailed in the subcontract budget. The International Travel Request Form must be submitted prior to traveling. (See Appendix 2.) In addition to CRSP approval, travel whose primary purpose includes interaction with USAID or which was not included in the budget also requires USAID approval. The CRSP Management Entity will seek this concurrence on behalf of the traveler via the USAID/Washington office.

The US Lead PIs are responsible to OSU for ensuring that CRSP travel regulations are followed. Lead USPIs may wish to set up an internal project-level travel approval system, or have all travelers within a given project obtain approval from the project’s Lead USPI. Good practice for approvals could mean that each person obtain approval from at least one step up the subcontracting “chain”.

All travelers must have the appropriate approvals in place before departure. In addition, all travelers must have up-to-date Emergency Locator Forms on file with the CRSP prior to travel (see Appendix 3). Travelers are required to submit an updated Emergency Locator Form with their next travel request if there have been changes (i.e., address of the traveler or the traveler’s next of kin.)

A trip report is required for all international travel. Trip reports must be submitted to the CRSP ME as part of the regular quarterly report immediately following the end date of the trip. Trip reports are mentioned in the quarterly report forms as a reminder. Quarters run from 10/1-12/31; 1/1-3/31; 4/1-6/30; and 7/1-9/30; Quarterly reports are due one day after the end of each quarter. Please do not send your trip report independently on a different schedule as it will run the risk of getting misplaced. Please send reports to [email protected] with the subject line: Trip Report from (place or places visited). By and large, travel must be conducted using US flag carriers; PIs should consult the CRSP ME regarding the very limited exclusions to this rule that are available. The travel procedures for each type of travel are delineated below. This rule applies to ALL travel, not just travel from the US Example: If an HCPI is traveling from Brazil to Peru, a US carrier should be


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used if available.

More detailed information on USAID travel rules can be found at http://www.usaid.gov/policy/ads/300/303mab.pdf Current federal per diem rates can be found at http://aoprals.state.gov/web920/per_diem_action.asp?MenuHide=1&CountryCode=0000 Domestic Travel

• Traveler submits travel request to Project PI, whether HCPI or USPI.

International Travel without Mission Contact

• At least 40 days prior to departure, traveler submits a travel request to PI (next person up the subcontracting “chain”).

• The approved request is forwarded to the CRSP Director for approval at least 30 days prior to planned departure.

• Note that Lead USPIs (for 2007-9 competitive research projects: Fitzsimmons, Haws, Borski, Pomeroy, Diana, and Quagrainie) may require an intermediate step for their approval. Since the Lead USPI is responsible for ensuring all rules are followed, he or she may wish to approve project-level travel, and then forward their approval to the Director.

• The request is returned to the traveler at least 20 days prior to planned departure, with the Director’s approval or disapproval. Travel requests requiring special USAID approval will take longer to process.

Emergency Preparedness Although it is not required, travel insurance is strongly encouraged prior to international travel. Most US Educational institutions offer travel insurance or can help arrange buying such insurance. It is also strongly recommended that travelers carry emergency contact information for each country that will be visited. Trip Reports Trip reports are an important source of information. They are required for international travel and optional for domestic travel. If more than one person is traveling as part of a group, only one trip report is required for the group. The trip report must include:

• Name of traveler(s) • Scope of Work for the trip –can be an itinerary or in narrative form • Observations • Suggestions or recommendations • List of persons met with contact information if known

Photos are optional for trip reports, but useful since these reports often form the basis for outreach publications options for submitting photos are: • Can be attached to or embedded in your trip report; • Can be sent separately on CD to the Management office (CRSP, 418 Snell Hall,

OSU, Corvallis, OR 97331-1643 USA) ; • Can be electronically posted to the CRSP’s photo archive on gmail (please contact

Jim Bowman for instructions if you choose to send photos to gmail). In the quarterly report immediately following your trip, please send your trip report to [email protected], with the subject line: Trip Report from (place or places visited). Reports sent to other ME addresses or independent of the regular quarterly report may not be received or acknowledged.


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Equipment Equipment is defined as tangible nonexpendable property having a unit price of over $5,000 and a useful life of more than one year. All goods and services must be purchased from a US manufacturer or provider. All equipment purchases require approval by the MO. No equipment was authorized under the RFP issued by the AquaFish CRSP so any purchase of equipment would require a request for change in implementation plan described above in addition to equipment purchase request. Equipment purchases not identified in the grant document require USAID approval in addition to MO approval. An Equipment Purchase Request Form (Appendix 5) must be completed and sent to the MO. If equipment cannot be purchased from a US supplier, a source/origin waiver must also be obtained, with the MO acting as intermediary between a PI and USAID.

The completed Equipment form should be sent to the MO where it will be reviewed by the MO Director to confirm that the item requested supports research on identified project objectives. It will then be sent to the USAID/W Cognizant Technical Officer for approval and forwarded to the USAID Office of Procurement for final approval. This approval will be transmitted in writing to the MO, which will forward copies to the US PI and the designated Contracts and Grants Officer at the PI’s respective university. THE MO WILL NOT PROCESS EQUIPMENT PURCHASE AUTHORIZATION REQUESTS FOR ITEMS ALREADY PURCHASED. Without prior USAID/W approval for purchase, equipment costs will be disallowed by Federal auditors. These costs will then be borne by the US Lead Institution or that entity or individual responsible for authorizing the purchase

Reporting and Publication Policies Financial Reporting Financial Reporting for projects is in accordance with the terms of the sub-award from OSU. In general, the following information will be required: quarterly invoices; cost-share “earned” for the same period; country-level expenditures; and training (short-term and long-term) expenditures. Typically these requirements are met by sending a quarterly (calendar basis) invoice accompanied by the additional information as attachments. Performance Reporting Performance Reporting is in accordance with (a) the terms of each project’s work plan as it appears in the sub-award, and (b) the requirements specified in the manual (for example, training data will be disaggregated by gender). The following reports will be required at the very minimum:

• quarterly impact reports; (See appendix 5 for required information and format) • annual performance reports; (See appendix 6 for required information and format) • trip reports; • one outreach document; • one lessons learned document; • one success story or policy brief; • one program newsletter article; • progress and synthesis reports toward program component benchmarks and indicators, USAID SO

indicators, and IEHA indicators (if applicable). Publication Guidelines Technical and programmatic information is published through a variety of avenues and media. Of primary importance are reports required under The Agreement. Most of these reports serve a double function; they inform USAID about program developments, and they are avenues to disseminate technical and programmatic information to the aquaculture and fisheries communities. In addition to these required documents, the CRSP publishes brochures, newsletters, and other documents designed for a broader audience or for special purposes. Appendix 7 contains guidelines to be used when submitting material for CRSP publication. Publications and other documents required by The Award are outlined in Appendix 8.


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Non-contractual publications are summarized in Appendix 9.

AquaFish CRSP Researchers may preferentially use other avenues to publish technical information. The CRSP strongly encourages its researchers to submit articles to peer-reviewed journals, proceedings, or multi-author books.

Please contact the MO for assistance in obtaining Legislative and Public Affairs approval if your communications is listed in both section A. Type of Media and B. Cost or Distribution: A. Type of Media

• printed material other than photocopy; • photographic services; • electronic information dissemination products, i.e., Internet pages audio; • television, video or film productions

and B. Cost or Distribution

• the costs exceeds $25,000; • it will be sent directly to or likely seen by a Member of Congress or Congressional staffer; • it will have more than 50% of its audience in the United States

The CRSP will communicate research results, program activities, events, educational materials, and opportunities to a variety of audiences that range from policymakers, students, and seasoned aquatic resources researchers to host country governments, NGOs, extension agents, hatchery workers, and rural farmers. All CRSP publications must follow USAID Standard Provisions, USAID Branding and Marking Rules, USAID Partner Co-Branding Guide, AquaFish CRSP Publications Policy, and other rules and schedules as specified in sub-awards. A summary of the major policies are described below: All CRSP-funded publications—whether funded wholly or in part—must be identified by an accession number. Before authors submit papers to scientific journals or proceedings, a CRSP Accession number must be obtained. Request accession numbers from the MO by providing title, author(s), work plan, research identification number and the journal to which the report will be submitted.

AquaFish CRSP outputs will carry the latest USAID identity alongside and of equal prominence as those of Oregon State University and the program itself. Due to the collaborative nature and input of the CRSP structure, output acknowledgments best resemble the USAID guidelines for co-supported organizations. A sample from these guidelines shows the USAID logo in concert with and of equal vertical size as other organizational logos aligned along the bottom of a publication cover, with the USAID identity leftmost. Depending on the size and aesthetic considerations of the output in question, OSU will allow participants to place their branding/marking on the front, inside, or back cover of bound publications; however, all applicable logos must appear together. Additionally, for all outputs generated using CRSP-funded research (this includes publications, presentations, promotional materials, and conference and workshop materials produced by the Management Office or our funded institutions in the US and Host Countries), the CRSP will require the following considerations to be observed: Wherever possible, both AquaFish CRSP and USAID will be acknowledged by prominent placement of their respective logos on the front, inside, or back cover of any CRSP-related publication. When possible, the USAID identity should appear to the left of other co-branded logos, and all should share vertical alignment. Regarding size: the images should both be printed the same height. High-resolution AquaFish CRSP and USAID logo files will be downloadable from the CRSP website at


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http://aquafishcrsp.oregonstate.edu . Please note that the images will be in the TIFF format at high resolution to ensure a high-quality image, and may require resizing to fit each publication. The CRSP should be acknowledged by: 1) Referring to the accession number and USAID agreement number in the Acknowledgments section of any paper; and 2) Using the CRSP and USAID logos where possible. Examples of appropriate acknowledgments include: * This work resulted from joint efforts between the [YOUR INSTITUTIONS] and the Aquaculture and Fisheries Collaborative Research Support Program (AquaFish CRSP) funded in part by USAID Leader with Associates Cooperative Agreement No. EPP-A-00-06-00012-00. The AquaFish CRSP accession number is [SPECIFY]. The opinions expressed herein are those of the author(s) and do not necessarily reflect the views of the Aquaculture and Fisheries CRSP or the US Agency for International Development. * This research is a component of the Aquaculture and Fisheries Collaborative Research Support Program (AquaFish CRSP), supported by USAID Leader with Associates Cooperative Agreement No. EPP-A-00-06-00012-00 and by contributions from the participating institutions. The Aquaculture and Fisheries CRSP accession number is [SPECIFY]. The opinions expressed herein are those of the author(s) and do not necessarily reflect the views of the Aquaculture and Fisheries CRSP or the US Agency for International Development. * Financial support for this project comes mainly from Leader with Associates Cooperative Agreement No. EPP-A-00-06-00012-00 through the Aquaculture and Fisheries Collaborative Research Support Program (AquaFish CRSP). The Aquaculture and Fisheries CRSP accession number is [SPECIFY]. The opinions expressed herein are those of the author(s) and do not necessarily reflect the views of the Aquaculture and Fisheries CRSP or the US Agency for International Development. * Part of this paper was prepared with support from the Aquaculture and Fisheries Collaborative Research Support Program (AquaFish CRSP), funded by USAID Leader with Associates Cooperative Agreement No. EPP-A-00-06-00012-00 and by contributions from the participating institutions. The Aquaculture and Fisheries CRSP accession number is [SPECIFY]. The opinions expressed herein are those of the author(s) and do not necessarily reflect the views of the Aquaculture and Fisheries CRSP or the US Agency for International Development. For brochures or other materials where space is limited, it is acceptable to include: *The opinions expressed herein are those of the author(s) and do not necessarily reflect the views of the Aquaculture and Fisheries CRSP or the US Agency for International Development. It is currently unclear is how copyrighted works published in scientific journals will be handled under USAID Branding and Marking rules. Archival of Outputs to USAID The CRSP will provide the USAID Cognizant Technical Officer and other designated USAID personnel with two copies of all program and communications materials produced with USAID funds. In addition, the CRSP will submit one electronic or hard copy to USAID’s Development Experience Clearinghouse. Guidelines for Specific Publication Avenues Publication of AquaFish CRSP Research in Peer-Review Journals PIs are encouraged to publish the results of their research in peer-reviewed journals. PIs must obtain a CRSP accession number before submitting a paper to a journal and follow the policies and guidelines for correctly acknowledging the CRSP contribution (please see above for detailed instructions). Copyright laws must be followed. Specific copyright restrictions should be forwarded to the MO.


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When a paper has been accepted by a journal, PIs must provide the MO with the following information: journal in which the paper was accepted, expected issue in which the paper will be published, and whether reprints will be ordered. The MO may consider purchasing 20 to 50 offprints at the time this order is placed. (Offprints usually cannot be ordered after publication.) If no offprints are being produced, the MO requires a copy of the abstract and complete reference as the abstract will be published as a Notice of Publication in Aquanews.

Publication of CRSP Research in Proceedings Publication requirements regarding accession number, acknowledgments, and offprints are the same as for scientific journals; however, authors should be aware of specific copyright laws applying to proceedings. Some proceedings specify that publication of their proceedings does not preclude publication elsewhere. Authors should advise the MO of the copyright restrictions applicable to each paper they have published in a proceedings volume and provide the MO with the complete reference of the paper(s).

Presentations at Conferences Presenters of AquaFish CRSP research results are required to acknowledge the CRSP and USAID with a slide/overhead. A copy of the acknowledgment slide can be obtained from the MO or downloaded from the program website.

Guidelines on Internet Usage for AquaFish CRSP Purposes To assure compliance with USAID guidelines on publications and communication products, all CRSP funded websites and other electronic applications that involve the Internet must comply with the following guidelines.

• Compliance with USAID guidelines relative to publications and media releases as outlined in the previous section.

• Permission must be obtained from individuals appearing in photographs that might be posted, including Host Country scientists and other individuals from Host Countries.

• Permission must be obtained from the owners of databases and other materials that might be used or posted on the website.

• Compliance with requirements and guidelines set by the “Source” for citing/using their data and other published materials on the website.

• Compliance with regulations pertaining to publishing copyrighted materials in an electronic media.

The website/web-based publication should be linked with other appropriate AquaFish CRSP websites and databases on the Internet. Marking of Sites Funded by USAID The CRSP and its collaborators will appropriately mark events financed by USAID, such as training courses, conferences, seminars, exhibitions, fairs, workshops, press conferences, and other public activities with the USAID Identity. Visible infrastructure projects (for example, buildings or ponds) funded by USAID will be similarly marked. Participants may request a waiver of the marking requirements, in whole or in part, for each program, project, activity, public communication or commodity, or, in exceptional circumstances, for a region or country, when required marking would pose compelling political, safety, or security concerns, or when marking would have an adverse impact in the cooperating country. The request will describe the compelling political, safety, security concerns, or adverse impact that require a waiver, detail the circumstances and rationale for the waiver. The request for waiver should be submitted to the MO who will review it and send it to USAID for approval.


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Impact Monitoring The CRSP uses impact indicators to monitor the effects of its research on stakeholders, beneficiaries, extension services, the research community, and the field of aquaculture. The CRSP is responsible for annually soliciting and collecting researchers’ quantifications of their impacts.

CRSP staff collect project-specific impact information designed to capture CRSP participants’ activities that were sponsored by the CRSP or came about as a result of CRSP work. These forms (see Appendix 5) are requested on a quarterly basis and allow OSU to monitor, track, and report progress in the areas of outreach, public service, and professional development. The types of information collected include:

• Research progress • Institution building (contacts with host country scientists, government officials, extension agents, farmer

organizations, farmers, non-governmental organizations) • New host country involvement • Physical support for host country institutions (e.g., pond renovation) • Linkage development (technical or professional communications with USAID missions, host country institutions,

non-governmental organizations, and regional institutions) • Conferences attended • Students advised • Lectures, seminars, presentations, and workshops given • Outreach activities (community or school extension activities) undertaken • Electronic linkages made • Publications, including technical papers and book chapters, authored • Theses published • Awards or commissions received • Informational material developed

Reimbursement Procedure Reimbursements: The Lead Institution will submit an invoice indicating the period covered. Invoices for reimbursement must be submitted on a calendar-quarterly basis to the MO and must be submitted within 30 days following the end of each quarter. Reimbursements by the US Lead Institution to a HC Institution should be reported in the month/quarter in which they were reimbursed, not the month/quarter in which the original institution incurred the expenditure. Expenditures should be reported on the same line and in the same column as they were budgeted. There is no required format, but an invoice must at a minimum include the following information: Name and remittance address of the Lead Institution Subcontract number Period covered by the invoice Expenditures for the period allocated by:

• Salaries and Wages • Employee Benefits • Supplies and Services • Travel • Indirect costs • Tuition • Equipment

Invoices must be accompanied by a cost sharing report (this may be included on the invoice or as an attachment) and an impact report for the period covered by the invoice. INVOICES WILL NOT BE PAID UNLESS ACCOMPANIED BY COST SHARE AND QUARTERLY IMPACT REPORTS Invoices should be sent to: Oregon State University Post Award Administration P.O. Box 1086 Corvallis, OR 97339-1086


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Training Guidelines Each participating institution must update their training plan every year and show that the degree training of non-US students (if any) is consistent with the needs identified in the appropriate implementation plan. Alternative funding sources should be sought to provide financial support for the students so as to achieve economies and supplement CRSP support. Training HC students takes priority over students from the US, other developing countries and "USAID-graduate" countries. Students should be sent to the institutions that best meet their training needs. Supporting and strengthening HC educational institutions is very important. Whenever possible, HC and other developing country training institutions should be used for training. However, it is understood that in many cases CRSP institutions have special advantages for training due to the integrated nature of CRSP research and graduate training. Degree training should be made available to women in numbers similar to that of men. In identifying potential US students, each project should make an effort to train African-American, Hispanic and other US minorities. Students conducting thesis research in the US must focus their investigations on areas that contribute to the achievement of research objectives outlined in implementation plans. Principal Investigators are encouraged to develop a training plan identifying HC Institutional needs and deficiencies for aquaculture expertise. This training plan should serve as the basis for approaching the USAID Missions in the region for “buy-ins.” PIs are encouraged to advise USAID Missions of the excellent training opportunities that are available through the CRSP in meeting the institutional needs and regional deficiencies. This will help the CRSP to achieve the goals of its Global Plan, and will enhance relationships between the CRSP and the USAID Missions. The training of US graduate students is important. Their research should have direct relevance to the objectives of the CRSP project, and the students should have a sincere interest in international development. It is recognized that CRSP research activities provide opportunities for US students to gain international development experience. Participant Training The AquaFish CRSP emphasizes the training of developing country scientists, technicians and administrators/managers for three purposes: (1) staff development for CRSP-assisted projects; (2) strengthening of key development institutions; and (3) establishment of local training capacities, as well as the improvement of specialized training capacities in developing countries. Such training is an essential component of the CRSP’s development strategy. "Participant training," as used here, refers to a foreign national whose training is funded and/or sponsored by the CRSP and takes place outside his/her home country. Participant training is a major means of assisting the development of high-level skills and institutional leadership. The AquaFish CRSP affirms that all training programs are to give attention to ensuring substantial participation by women. Where relatively few women participate, there must be indications of initiatives being taken to increase the number of women in participant training programs. All feasible steps should be taken to ensure that CRSP-sponsored trainees return to work in their home countries and in positions where their training is utilized effectively. Training in the US should be limited to fields in which training is not available in the HC, for which US training is cost-effective, or which supports other strategic considerations such as the exposure of key leaders to US institutions and practices. The CRSP has no implicit preference for one form of training over another, but it does expect that cost-effective training options, including training in HC or third-country institutions, will be explored before relatively expensive training in US institutions is recommended. It is AquaFish CRSP policy that all CRSP participant training, no matter how funded, managed or implemented, is subject to the policies, procedures, and reporting requirements established by Automated Directives System Chapter 253 (ADS 253), Training for Development Impact, http://www.info.usaid.gov, except where specifically excluded by ADS 253 or waived in accordance with ADS 253. All foreign nationals whose education/training takes place outside their country as a


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Participant Trainee are subject to the policies and procedures established in ADS 253. A summary of the major procedures in ADS 253 are listed below:

• The Training Implementation Plan (ADS E253.5.2) is the detailed training program prepared in response to the training request. It is a detailed description of each segment of the training program and includes a budget estimate.

• A DS2019 must be completed in order to apply for a J–1 visa. USAID-sponsored Participant Trainees are admitted to the US only under the USAID J-1 visa. USIA regulations and restrictions for the J-1 visa apply to all USAID Participant Trainees (ADS 253.5.6a). The Mission will arrange this visa. If the Mission is unable or unwilling to arrange the visa, contact the Management Office, for their help with the form. This process will take several weeks. Be sure to contract your University’s International Student and Scholars Office regarding SEVIS procedures. A Travel Notification form must also be submitted to the MO.

• The trainee information must be input into the TraiNet system (ADS E253.5.2e), located at website: www.devis.com/client_support/usaid. If there are subsequent changes in the Participant's program, these changes must be input in the TraiNet system.

• Each participant must have a pre-departure medical examination (ADS E253.5.2b). The USAID Mission should notify the contractor that this form is on file and that there are no pre-existing health problems.

• The Participant must be enrolled in the Health and Accident Coverage (HAC) program (ADS E253.5.6b). The enrollment can be completed at website www.devis.com/client_support/usaid. You will receive a billing from the HAC provider. If you do not receive a billing, please contact the MO for assistance.

• All foreign nationals whose training is outside their country and is to be conducted in English are screened to demonstrate a level of English proficiency at or above minimum acceptable scores prior to departure.

• Allowances for short-term Participant Trainees can be found at www.policyworks.gov perdiem rates. Allowances for long-term Participant Trainees can be found at www.iie.org/fulbright/posts/restrict/mmr. Allowances for long- and short-term Participant Trainees are outlined in ADS253.5.5b and the Detailed Guide for Training Results Section VII.

• All Participant Trainees whose programs are funded by USAID/W must file a tax return if they receive more money than the current tax year's personal exemption.

• An “Academic Term Report” must be completed for each Participant Trainee each Term/Semester.

Training Activities Reporting

The training work plan will be used to plan and document the number and types of training activities supported by the CRSP. The training work plan is to be completed by each Lead Institution’s PIs annually.

Appendix 10 contains the proper format for submitting a training work plan.


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Appendix 1. Work Plan Change Form


Oregon State University 418 Snell Hall

Corvallis, Oregon 97331-1643 US [email protected]

AQUAFISH CRSP CHANGE OF WORK PLAN Leader with Associates Cooperative Agreement No. EPP-A-00-06-00012-00

Project Leader:

Lead Institution:

Work Plan Number:

Experiment/Study Title and Code:

Check all appropriate categories of the proposed modification(s):

Experiment/Study Objective(s)

Experiment/Study Design

Experiment/Study Treatment Protocols (Methods)

Experiment/Study Location(s)

Experiment/Study Deliverables

Experiment/Study Schedule (include new date in the description below):

Provide a brief description and justification (not to exceed one page) that addresses each type of modification proposed.


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Appendix 2. International Travel Request Form

AQUAFISH CRSP Oregon State University

418 Snell Hall Corvallis, Oregon 97331-1643 USA

Fax 541-737-6408

AQUAFISH CRSP INTERNATIONAL TRAVEL REQUEST USAID Agreement No. EPP-A-00-06-00012

Date submitted to CRSP: 1. Traveler and Trip Information

Lead institution/project: Principal investigator(s): Traveler's name: Traveler's institution: Destination: In-country contact person including address, phone and email: Proposed departure date: Proposed return date: Has traveler submitted an AquaFish CRSP emergency locator form to the Management Office? yes no

2. Mission or Embassy contact

Is the primary purpose of the trip to work with USAID Mission or US Embassy personnel and/or will traveler seek significant administrative or programmatic support from the USAID Mission or the US Embassy?

3. Purpose of trip 4. Prior Budget Approval

Is the proposed travel identified in the award budget? IF no, please explain:

5. Traveler and PI Signatures

Traveler

Principal Investigator

6. AquaFish CRSP Approval CRSP Director Date


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Appendix 3. Emergency Locator Form A q u a F i s h

C o l l a b o r a t i v e R e s e a r c h S u p p o r t P r o g r a m

O R E G O N S T A T E U N I V E R S I T Y 4 1 8 S n e l l H a l l

C o r v a l l i s , O r e g o n 9 7 3 3 1 - 1 6 4 3 U S A T e l e p h o n e 5 4 1 - 7 3 7 - 6 4 1 7 F a x 5 4 1 - 7 3 7 - 6 4 0 8

EMERGENCY CONTACT FORM

Date completed: ____________

EMPLOYEE INFORMATION: Name: _______________________________________________________________ Business Phone: _______________________________________________________ Home Address: _______________________________________________________ _______________________________________________________ _______________________________________________________ Home Phone: _______________________________________________________ Email Address: _______________________________________________________ CONTACT TO BE NOTIFIED IN CASE OF AN EMERGENCY: Name: _______________________________________________________________ Relationship to Employee: ______________________________________________ Address: _________________________________________________________ _________________________________________________________ _________________________________________________________ Home Phone: _________________________________________________________ SPECIAL INSTRUCTIONS:


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Appendix 4. Equipment Purchase Request Form


Oregon State University 418 Snell Hall

Corvallis, Oregon 97331-1643 [email protected]

REQUEST TO PURCHASE EQUIPMENT (for single units costing more than US$5,000)

Lead institution/project: Principal investigator(s): Item to be purchased: For exclusive use in what geographic location: Unit Price: Probable country of source (vendor): Probable country of origin (manufacturer):

• A Source/Origin Waiver is needed if either the source or origin is non-US and the unit cost is greater than US $5,000.

• See Source/Origin Waiver Instructions below. Justification of Equipment Purchase Address the following issues here:

• Is cost included in current FY project budget? • Who will use the purchases? • How will use of this item contribute to accomplishment of project objectives and significantly

improve chances for project success? • Would you accept a substitute?

Source/Origin Waiver Instructions The following section must be completed when either the source or origin of the equipment is non-US and the unit cost is greater than US $5,000. Address the following issues here:

• Why must non-US vendor/manufacturer be used? • If purchase is made in the host country, is it an “off the shelf” item? • If purchased or used in the host country, are spare parts and qualified

dealers/technicians available for maintenance?)


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Appendix 5. Quarterly Impact Reporting Form

AQUAFISH CRSP QUARTERLY REPORTING FORM

USAID Grant No. EPP-A-00-06-00012-00

EMAIL THIS FORM TO: [email protected] Instructions: Please fill out the form below. In cases where there is no activity to report, please check the relevant box. This confirms that a field has not been overlooked. Please contact the PMO ([email protected]) if you have any questions. If you have more information than the available space, please use the Additional Information box in Section 8 toward the end of the form. Name of person completing form:

Additional contributing person(s):

SELECT reporting period: 1 July 2007 – 30 September 2007

1 October 2007 – 31 December 2008 1 January 2008 – 31 March 2008

1 April 2008 – 30 June 2008 1. UPDATES TO IMPLEMENTATION PLAN (WORK PLAN) a. Progress Notes Please provide information regarding progress toward research goals, activity completion, etc. for your project below. Please note any problems or issues that may require a work plan change. Note: a detailed update for each investigation in your project is not necessary, unless you wish to provide such information.


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b. Request to change Implementation Plan: Are aspects of your work being performed differently than what is described in your Implementation Plan (e.g., objectives, methods, materials, etc.).

yes no If you selected "no" proceed to Question 2. What aspects of your work are different from those described in your Implementation Plan? Check all that apply.

Objectives Methodology Materials Anticipated benefits Schedule Other

Please explain why aspects of your work are different from what is described in your Implementation Plan:

Approval: ____________________________________ Approval: ___________________________ DTAP Chair Hillary S. Egna, Director


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2. PERSONNEL a. Colleagues

• List new colleagues involved in AquaFish CRSP-related projects (name, gender, investigation). If none, check here . Otherwise, complete the relevant fields below:

Colleague last name Colleague first name Gender Project/investigation code

• List personnel who left your AquaFish CRSP project and their new place of employment (if

known). If none, check here . Otherwise, complete the relevant fields below: Last name First name Gender Place of employment/contact info

b. Participation of students Please list new and departing students, with additional relevant information. Include only students working on your AquaFish CRSP-funded project(s). For new students, please list name, gender, nationality, start date, and level of funding. Also list students who left the project in the current quarter. (Report publications, including completed theses, under Section 4 below.) If you have had no change in students since your last quarterly report check here and continue to Section 3.

• New students Student last name Student first name Gender Nationality Start date

(dd/mm/yy) Level of funding*

*Please specify: full, partial, none, not determined

• Graduating or leaving students Student last name Student first name Gender Nationality End date

(dd/mm/yy) Level of funding

*Please specify: full, partial, none, not determined Additional comments regarding personnel/students:


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3. OUTREACH AND COLLABORATIVE ACTIVITIES a. Please describe your educational contributions (lectures, seminars, etc.) based on AquaFish CRSP-sponsored work. If none, check here and continue to Section 3b. Category* Topic (Title of course,

seminar, etc.) Location Date

(dd/mm/yy) Audience type**

*Please specify: lecture, presentation, workshop, seminar, other ** Please specify: undergraduates, graduates, farmers, government workers, government officials, general public b. Describe how you have interacted (meetings, conversations, correspondence, etc.) with host country scientists, government officials, extension agents, farmer organizations, farmers or fishers, and NGOs through phone, writing or in person, and the purpose of the interactions. If none, check here and continue to Section 3c.

c. Describe contacts with members of the public, either in the host country or the US. If none, check here and continue to Section 3d. Tell us about requests from, contacts with, or other interactions with the

public (for example, information requests). Please describe your community or school outreach or extension activities. (These may include items from "educational contributions" in Section 3a.)

d. We would like to know about professional and technical contacts you have had with international and US colleagues. Have you established any new contacts with host country institutions, regional institutions, NGOs, or government agencies for technical or professional cooperation, whether in person, by telephone, or by email? If no, check here and continue to Section 3e. If yes, please describe below (please describe the nature of the contact in detail: institution, contact method, etc.):


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e. Please list any conferences you have attended on AquaFish CRSP funds and indicate if you presented AquaFish CRSP-sponsored research. If none, check here and continue to Section 3f. Name of attendee Name of

conference Location Month/Year

(mm/yy) Presented

(y/n)

f. Please describe any interactions you have had with USAID directly (includes USAID missions, Bureaus, and other offices). If none, check here and continue to Section 3g.

g. Please describe physical improvements to host country institutions (pond refurbishment, new equipment, renovations, etc.), including improvement details (facility improved, scope, equipment used and number of personnel involved, etc.). This includes technology transfer through on- and off-farm trials. If none, check here and proceed to Section 4.


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4. PUBLICATIONS BASED ON AQUAFISH CRSP-SPONSORED RESEARCH a. Provide details on all publications related to AquaFish CRSP sponsored work, such as technical papers, theses, book chapters, pamphlets or any other published material. If no papers have been published check here and continue to Section 4b. ARTICLE 1: Full title of article, report, chapter, etc. Author(s): Last Name, FI

Type of paper*

Name of publication (journal, book, etc.) Date submitted (dd/mm/yy)

*Please specify: journal article, book chapter, proceedings, other Accession number Accepted?** Date accepted

**Please specify: yes, no, in review, resubmitted ARTICLE 2: Full title of article, report, chapter, etc. Author(s): Last Name, FI

Type of paper*



**Please specify: yes, no, in review, resubmitted ARTICLE 3: Full title of article, report, chapter, etc. Author(s): Last Name, FI

Type of paper*



**Please specify: yes, no, in review, resubmitted


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b. Give full bibliographic reference of any completed theses. If no theses have been published, check here and continue to Section 4c.

THESIS 1: Author last name First name Thesis title

Degree type* Institution Date of

defense (dd/mm/yy)

*Please specify: Ph.D., Masters, Bachelors, other THESIS 2: Author last name First name Thesis title

Degree type* Institution Date of

defense (dd/mm/yy)

*Please specify: Ph.D., Masters, Bachelors, other c. Describe any other informational material you have developed. If no other materials have been presented check here and continue to section 5. Type of material*

Audience** Language(s) Purpose Audience size***

*Please specify: pamphlet, booklet, video, audio tape, newsletter, CD or DVD, web page, other **Please specify: technical, academic, public **Please specify: 0 to 10, 10 to 100, 100 to 1,000, over 1,000


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5. TRIP REPORTING Did you or your CRSP colleagues/staff travel using CRSP funds during the current reporting period?

yes no If no, please proceed to Section 6. If yes, please complete the information below. Dates of travel Location(s) of travel Purpose of travel* Person(s) traveling

*attend/participate in workshop, attend/participate in conference, group meeting, etc. Please discuss the reason and outcomes of travel this quarter.

6. MISCELLANEOUS a. Additional funds — support from non-AquaFish CRSP sources Here we are interested in additional funds from non-AquaFish CRSP sources that were acquired as a consequence of your CRSP funding and would not have been available without your CRSP funding. You should also list funds used for non–AquaFish CRSP objectives but generated as a result of AquaFish CRSP funding. Additional sources include grants, training, travel support, equipment, facilities, and other forms of provided services and supplies. Please complete the fields for the source, amount, and type of leveraged support. If no leveraged funds were obtained, please check here and continue to Section 6b, otherwise please complete the information below: Fund source :

Fund amount (US$, enter number only):

Type or category of support (check all that apply)

Grant Training Travel support Equipment Facilities Other

If you checked "Other" in the above categories, please describe the type of support (for example, you may have received an award or an invitation to speak or to serve on an expert panel or committee).


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7. HOW MAY WE BE OF SERVICE? Please let us know how we may be of service. If you'd like to produce a brochure, pamphlet, poster, or video we would enjoy working with you. Describe your ideas in the box below. If you have none in mind, check here and continue to Section 8.

8. ADDITIONAL INFORMATION Please use the box below to add information not included above. For example, if there were too few fields for a category, you can enter the additional information here.

Thank you for your time! We know your time is valuable. Thank you for completing this form. We appreciate your input and look forward to hearing of your successes.

EMAIL THIS FORM TO: [email protected], and please be sure to include QUARTERLY REPORT in the subject line.


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Appendix 6. Reporting Guidelines TECHNICAL REPORTS—WHAT TO SUBMIT In compliance with USAID annual reporting requirements, CRSP subcontracts provide that an annual report must be submitted for each funded CRSP study. Submission of a full technical report implies that the article is original and has not been published or accepted in a peer-reviewed journal. Depending on the status of each funded study under your subcontract, an abstract only or a progress or final report (including an abstract) may be owed. To determine what you need to submit, identify which scenario below applies to each study approved under your subcontract:

• Investigation begun; data analysis not begun: Abstract only • Some or all data collected; analysis not complete: Abstract and progress report • Data collected and analysis complete: Abstract and final report

FORMAT FOR PROGRESS AND FINAL TECHNICAL REPORTS Heading Material

• Study title • Work plan number and study code (e.g., 2BMA01, 3HHI03, etc.) • Type of report (Final or Progress) • Author(s) (spell out names exactly as they should appear) • Institutional affiliation(s) and addresses

Report (text not to exceed 10 pages)

• Abstract (200–500 words) • Introduction • Methods and Materials • Results (this section can be abbreviated for Progress Report) • Discussion (this section can be abbreviated for Progress Report) • Conclusions • Anticipated Benefits • Acknowledgments (such as for sources of funding other than the CRSP and persons who assisted with

the research or report) • Literature Cited

TECHNICAL REPORT PREPARATION GUIDELINES Please use the Guide for Authors from the journal Aquaculture as a model for annual report submissions. The major CRSP departure from the Aquaculture Guide is the position of authors’ initials (examples in Citations Section below).

Copyright Permission Acknowledge borrowed material. Make certain when quoting from someone else’s work (including both published and unpublished manuscripts and letters) or reproducing a figure or table from any source that you are not infringing on a copyright. In general you may quote from other published works. However, if you plan to make substantial extracts or to reproduce tables, plates, or other figures, you must obtain permission from the holder of the copyright. In the case where the copyright holder is not the author of the quoted or reproduced material, you should also obtain permission from the author.

Formulae • Avoid hand-writing to depict formulae if possible. • Place formulae on lines by themselves (free of surrounding text) in order to facilitate computer editing. • Make subscripts and superscripts clear.


38

• Clearly show difference between numeral zero (0) and letter O, and between numeral one (1) and lower-case letter l.

• Define symbols immediately following the equation in which they are first used. • Number equations serially at the right-hand side in parentheses. (Number only equations explicitly

referred to in the text.) • Use fractional powers instead of root signs. • Denote powers of e by exp.

Symbols and Units • Indicate levels of statistical significance (e.g., P < 0.05) without further explanation. • Place isotope numbers ahead of symbols (18O). • Use the full name of compounds instead of repeating chemical formulae in the text—except when a

long name occurs frequently or in the case of a compound described as the end product of a gravimetric determination (e.g., phosphate as P2O5).

• Use SI units (International System of Units) expressed in scientific notation, e.g., kg ha-1 d-1. If you must use local measures, show converted measures in SI units in parentheses.

Nomenclature

The CRSP follows rules governing biological nomenclature described in the International Code of Botanical Nomenclature, the International Code of Nomenclature of Bacteria, and the International Code of Zoological Nomenclature. • Identify all biota (plants, insects, birds, mammals, etc.) at first usage with the common name first followed

by the scientific name in parentheses. Thereafter, refer to biota using the common name. This does not apply to biota that are referred to by genus name only (e.g., Colossoma and Clarias).

• Identify all biocides, other organic compounds, and the active ingredients of all formulations by their Geneva names at the first usage in the text.

• For chemical nomenclature, follow the conventions of the International Union of Pure and Applied Chemistry and the official recommendations of the IUPAC-IUB Combined Commission on Biochemical Nomenclature.

Literature Citations

In the body of the report: • Cite author’s last name, year of publication, and, if necessary, appropriate page numbers, e.g., “Since

Peterson (1988) has shown that...“ and “This matches results obtained later (Kramer, 1989, pp. 12–16).” • Cite the name of the first author followed by “et al.” when referring to a publication written by more than

two authors. • Arrange references cited together in the text chronologically. In the Literature Cited section: • Arrange works alphabetically by authors’ last names. • Arrange works by the same author chronologically. • When citing works by a single author and other works co-authored with one or more writers, use this order:

1) publications of the single author, arranged chronologically; 2) publications of the single author with one co-author; 3) publications of the single author with more than one co-author.

• List publications by the same author in the same year as 1974a, 1974b, etc. • Refer to the International List of Periodical Title Word Abbreviations for information on acceptable

abbreviations. • For languages other than English, retain the original title. However, the titles of publications in non-Latin

alphabets should be transliterated, and a notation such as “(in Russian)” or “(in Greek, with English abstract)” should be added.

Citation Examples

Periodicals Vez, A., 1977. Dix ans d’expérience de cultures sans labour. Rev. Suisse Agric., 9:59–70. Edited symposia, special issues, etc., published in a periodical Iwata, M., T. Hirano, and S. Hasegawa, 1982. Behavior and plasma sodium regulation of chum salmon fry

during transition into seawater. In: H.A. Bern and C.V.W. Mahnken (Editors), Salmonid Smoltification.


39

Proceedings of a Symposium, 29 June–1 July 1981, at La Jolla, California, U.S.A. Aquaculture, 28:133–142.

Books Bartík, M. and A. Piskac (Editors), 1981. Veterinary Toxicology. Developments in Animal and Veterinary

Sciences, 7. Elsevier Scientific Publishing Company, Amsterdam/Oxford/New York, 346 pp. Book section Green, A.H., 1976. Field experiments as a guide to fertiliser practice. In: R.H.V. Corley, J.J. Hardon, and B.J.

Wood (Editors), Oil Palm Research. Developments in Crop Science, 1. Elsevier Scientific Publishing Company, Amsterdam/ Oxford/New York, pp. 235–261.

Unpublished reports, departmental notes, etc. Dickson, J.W., J.K. Henshall, M.F. O’Sullivan, and B.D. Soane, 1979. Compaction effects under commercial and

experimental cage wheels in comparison with rubber tyres on loose soil. Scot. Inst. Agric. Eng., Dep. Note SIN/261 (unpubl.), 9 pp.

CRSP Work Plan Pond Dynamics/Aquaculture Collaborative Research Support Program, 1993. Seventh Work Plan. Pond

Dynamics/Aquaculture CRSP, Oregon State University, Corvallis, Oregon, 85 pp. CRSP Data Report Woessner, J., R.D. Fortes, and V. Corre, Jr., 1991. Pond Dynamics/ Aquaculture Collaborative Research Data

Reports, Volume 4, Number 1, Philippines: Cycle I of the CRSP Global Experiment. Pond Dynamics/Aquaculture CRSP, Oregon State University, Corvallis, Oregon, 141 pp.

Paper within ACRSP Annual Report Nath, S.S. and J.E. Lannan, 1993. Dry matter-nutrient relationships in manures and factors affecting nutrient

availability from poultry manure. In: H. Egna, M. McNamara, J. Bowman, and N. Astin (Editors), Tenth Annual Administrative Report. Pond Dynamics/Aquaculture CRSP, Oregon State University, Corvallis, Oregon, pp. 110–119.

CRSP Database citations

If author is known: Researcher, I., Web Page Title. Document Date. In: Pond Dynamics/Aquaculture CRSP Database. Date of last

update (or date accessed). Internet. URL: <biosys.bre.orst.edu/crspDB/default.htm>.

If author is not known: Pond Dynamics/Aquaculture CRSP Database, Document Date. Country and site, inclusive dates of data used.

Internet. URL: <biosys.bre.orst.edu/crspDB/default.htm>. Internet sources Min, K., 1998. Wastewater pollution in China. Accessed 6 June 2000. Internet. URL:

<darwin.bio.uci.edu/~sustain/suscoasts/krismin.html>. Thesis Tain, F.H., 1999. Impacts of aquaculture extension on small-scale Oreochromis niloticus production in

northeastern Thailand. M.S. thesis, The University of Michigan, Ann Arbor, Michigan. CRSP Research Report Lin, C.K., K. Jaiyen, and V. Muthuwan, 1993. Integration of Intensive and Semi-Intensive Aquaculture. Concept

and Example. CRSP Research Report 93-54. Pond Dynamics/Aquaculture CRSP, Oregon State University, Corvallis, Oregon, 6 pp.

Personal communication McNary, J., personal communication, 1990.


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GUIDELINES FOR SAVING AND SUBMITTING REPORTS Text • Save text in Word with no embedded tables or figures. Put tables and figures in separate files! • Minimize formatting, as most will be over-written in the course of editing and standardizing. • Do not use footnotes. Tables • Create or save each table as an independent Word file, not as part of the text file. Include the caption. • Minimize formatting, as most will be over-written in the course of editing and standardizing. • Number tables in sequence throughout the text and make certain that the text contains references to all tables. • Label column headings with brief, explanatory headings. Add standard abbreviations of SI units of measure

in parentheses. • Material presented in tables should be able to fit on one letter-size (8.5 x 11") page with standard (1" all

around) margins. Figures • Create or save each graph or chart as an independent Excel file, not as part of the text file. Save each diagram

or map in the application in which it was created (i.e., not as an EPS, WMF, or CGM file) to ensure editability.

• Include the figure captions in a single text file. • Number figures in sequence throughout the text and make certain that the text contains references to all

figures. • To ensure optimal printing quality, please use 12-point type and keep figures within one letter-size page with

standard (1" all around) margins. Most figures will be printed at a width of 3.5".

SUBMISSION CHECKLIST Electronic Files

• Report Text • Tables, with Captions • Figures • Figure Captions

Hard Copy of Entire Report


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APPENDIX 7. STYLE GUIDE FOR AF CRSP REPORTING

Organization Heading—Title, Work Plan Number and Study Code, Type of Report, Author(s) (spell out names exactly as they should appear), Address(es) Main Report—Abstract, Introduction, Methods and Materials, Results, Discussion, Conclusions, Anticipated Benefits, Acknowledgments, Literature Cited Punctuation

• Commas in lists. Use a comma before the words “and” or “or” in lists, e.g., Fish, guts, and slime. We dug a pond, added some fish, and submitted a report.

• Commas are used in cases of apposition. e.g., Hillary Egna, the Director, stipulates... But: Director Hillary Egna stipulates... • A comma, should never come between a subject and its verb. • “Quotation” marks should always be double, except “in case of a ‘quote’ within a quote.” • Punctuation goes within the quotes (except colons, semicolons, hyphens, and dashes).

Scientific Names

• Genus and species should be italicized and in parentheses when used with a common name. The parentheses should not be italicized, e.g., We grow Nile tilapia (Oreochromis niloticus) in ponds. (N.B. genus names start with capital.)

• If scientific name is being used without the common name it should be italicized but not in parentheses, e.g., We grow O. niloticus in ponds.

• Authorities are not italicized, e.g., Oreochromis niloticus (L.). • sp. and spp. are not italicized. • Colossoma and Clarias are still to be treated as scientific names. • Artemia and tilapia are common names.

Capitals for Proper Nouns

• Central Database, Host Country, Ninth Work Plan, Secchi. • Note that common names are not proper nouns, e.g., blue tilapia (but note Nile tilapia). • Geographic descriptions are capitalized if part of a proper noun, e.g., North America. • But are not if simply describing a geographic region, e.g., in northern Thailand.

Numbers

• One to ten as words, except for study numbers (e.g., Peru Research 1) and some ranges (see below).

• 11 onwards as numerals, except at the start of a sentence. • Large numbers are punctuated with commas, e.g., 6,000.

Ranges

• From 1 to 13—use numerals, except at beginning of sentence, e.g., One to thirteen... • In general, use words, not dashes, between the numbers in a range, e.g., 12 to 15 or 12 through 15. • Where words are not appropriate, such as in tables, and ranges have to be linked with an en dash,

then use no spaces, e.g., 12–15. Miscellaneous Terminology

• “Tenth Work Plan” must always be spelled out. 17a-methyltestosterone—no spaces between any of the symbols or words for this steroid. To make

the alpha(a) (or other Greek letter), type “a” (or Roman equivalent) then change the font to symbol.


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biochemical oxygen demand should be abbreviated BODx (where x is the number of days over which the BOD is measured) rather than x BOD or BOD-x.

broodfish—not brood fish. chlorophyll a—the a is italicized. Database is one word—not data base. Ditto website. freshwater/warmwater/brackishwater—one word when used as a compound adjective, but two

words when used as a noun and adjective. e.g., We added fresh water to the freshwater ponds. e.g., Brackishwater shrimp can be found in brackish water. • Pathumthani is one word; Can Tho is two. • use Central or South America instead of Latin America. • host country site—not prime site, primary site, nor core site. • URL format is entire address without http://, inside <>s, e.g., <pdacrsp.orst.edu>.

Singular/Plural

Fish can be a singular or plural (one fish, two fish, red fish, blue fish) but use fishes when referring to more than one species.

Datum is singular, data is the plural, e.g., These data are poorly presented. One species, two species—unless you’re talking about coins.

Units of Measure

• Use scientific notation, e.g., kg ha-1 d-1 • Space between number and unit, e.g., 2 kg • Note space between units, e.g., kg ha-1 • Body weight per day = BWD • Hour = h • Day = d • Year = yr • Liter = l • Second = s

Currency

• No spaces between currency units or abbreviations, e.g., US$1 = RF3. Dates

• Preferred format 12 October 1998. Note: order and lack of commas.

Temperature

• 24°C/24°F—no space between numbers, symbols, and letters in temperature. (Note that degree symbol is option-shift-8, not superscript o.)

Hyphens

• Indicate hyphens (-) by - , en dashes (–) by 1/N and em dashes (—) by 1/M. • Note: Hyphens are used to compound numerals and units, e.g., a 2-ha pond, a 2-m-long pipe. • Note: En dashes indicate durations (2–6 January 1992), ranges (pp. 2–71), or compound adjectives

with more than one associated word being hyphenated (a romance novel–induced swoon). • Note: Em dashes are used to set off parenthetical material or appositives that contain commas

(e.g., fish food ingredients—rice bran, toenails, and yeast—are composted for two weeks). Some words we like to hyphenate

• ammonia-nitrogen • cost-effective • decision-making (the adjective and the noun)


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• grow-out • nitrate-nitrogen • post-larval • un-ionized—not unionized

Some words we don’t • socioeconomic • triple superphosphate—not triple super-phosphate • nongovernmental

Numbered Lists Convert letters to numbers, except in treatments. If items in list have fewer than five words, then lists are formatted as follows: 1) item one; 2) item two; and 3) the final item, which will never be an independent clause. i.e., no line breaks. If items in list have five or more words per item or if there are more than five items, then use line breaks and format as follows:

• Item one has lots of words; • Item two is a long line; and • Item three is an independent clause, even though it wouldn’t need to be.

Bulleted Lists Format as above. “Where” Lists Sometimes an equation will be followed by a list defining variables. Format as follows:

y = mx + c where

y = value of y, m = gradient of line, and c = y intercept.

Note alignment of “=” in where list. Equations’ “=” cannot always be aligned with those in the where list. If they can’t, center them, with equation number in parentheses at right margin. Short and simple “where” lists can be included in regularly formatted text. Figures and Tables

• “Figure” should be spelled out in the text and in the figure headings (i.e., Figure 3 rather than Fig. 3).

• Captions should read: Figure/Table 3. Followed by a hanging indent to make sure that the text is aligned with the previous

line. Citations

• Order chronologically, then alphabetically. • Format as: Green, 1983; Boyd, 1991; Diana, 1991. • Et al. is not italicized. (Scientific Style and Format indicates that non-English words should be

italicized, except for widely used phrases). References

• Follow Aquaculture’s Guidelines for Authors, i.e., order alphabetically, then chronologically. If there are multiple references by a given author in a given year, order those alphabetically. Using a 0.25" hanging indent.


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Appendix 8. Contractual Reporting Requirements

Publication Producers of Draft

Draft Deadline

Final Deadline

Frequency of

Draft Audience

Target Audience Dissemination

Document Publication Avenues Implementation Plans

MO 60 days following date of award

1 month after review of draft by CTO

As needed USAID CTO/ CRSP Director

USAID CT & Grant Officers/ BIFAD/CRSP PIs/ MO/Other CRSPs

Direct mail/ website/ DEXS

Implementation Plan Addenda

MO As required As needed USAID CTO/CRSP Director

USAID CT & Grant Officers/ BIFAD/CRSP PIs/ MO/Other CRSPs

Direct mail/ website/ DEXS

Annual Administrative Report Annual Meeting-Program Meeting Minutes

CRSP PIs/ MO

90 days following close of reporting period 14 days after meeting 1 month after review of draft by meeting presenters

Annually Annually

USAID CTO/ CRSP Director Meeting presenters

CRSP mail database entries (+USAID Project & Grant

Officers/ BIFAD) Direct mail/ website/ DEXS USAID CT & Grant Officers/CRSP PIs/MO

Electronic mail

EPAC Meeting Minutes

MO Secretary

14 days after EPAC meeting 1 month after review of draft by EPAC members.

As needed As needed

EPAC members

USAID CT & Grant Officers/CRSP PIs/MO

Electronic mail USAID CT & Grant Officers/CRSP PIs/ MO

Electronic mail

Research Reports CRSP n/a n/a As n/a CRSP mail Direct

PI(s)/ submitted database entries mail/

OSU (+USAID CT & website/

Grant Officers/ DEXS

Working Papers TBA TBA 1 month after As needed USAID TBA Electronic

review of draft CTO/ CRSP mail

by relevant Director parties


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Appendix 9. Other Program Publications

Publication Docu-ment Origin

Publication Schedule

Frequency of Publication Target Audience Format

Annual Technical Report

CRSP PIs/MO

October Annually CRSP mail database entries (+USAID CT & Grant Officers)

Direct mail/website/DEXS

Aquanews MO October, January, April, July

Quarterly CRSP mail database entries

Newsletter/email/website

Notices of Publication CRSP PI(s) October, January, April, July

Quarterly CRSP mail database entries

Included in Aquanews/website

EdOp Net MO Ongoing Monthly EdOp Net list Newsletter/email/website AquaFish CRSP Staff Directory

MO September, March

Semi-annually CRSP PIs/MO/ USAID/Other CRSP

Copy & staple

Publication Order Form

MO July, December Semi-annually CRSP mail database Copy & staple


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Appendix 10. Training Workplan Format

Training Workplan 200? – 200? I. Degree Training Plan Justification: (Present a justification for the proposed degree training activities including a statement of regional training needs, how the proposed training activities will address the specific research objectives, and help achieve the overall AquaFish CRSP goal of institutional capacity building) Proposed degree training activities: (Please provide the following information for each degree trainee to be supported by your component).* 1. First and Other Given Names: 2. Last Name: 3. Citizenship: 4. Gender: 5. Degree to be trained: 6. Discipline or Department: 7. Thesis title/research area: 8. Training Institution: 9. CRSP supervising PI: 10. Start date: 11. Completion date: 12. Type of CRSP support: (The options are: Full, Partial or Indirect) 13. If providing partial support, please describe the nature of support: 14. If providing Indirect support, please describe the sources of leveraged funds: 15. Research Activity Code this degree training will contribute to: 16. Amount budgeted (direct and indirect costs): 17. CRSP Institution this budget should go to: * Repeat the above format for additional trainees. II. Short-term Training Plan Justification: (Present a justification for the proposed short-term training activities including a statement training needs, how the proposed training activities will address the specific objectives of your component’s research activities, and help achieve the overall CRSP goal of institutional capacity building) Proposed short-term training activities:* (Please complete the following information for each short-term training activity planned in the coming fiscal year. Examples of short-term training include support for workshops, conferences, visiting scientists, internships, post-doctoral fellowships, group training, individualized instruction, training in laboratory or field techniques, etc.) 1. Type of training: 2. Description: 3. Location: 4. Duration: 5. When will it occur? 6. Who will benefit? 7. Anticipated numbers of beneficiaries 8. List other funding sources to be sought for this activity (if any): 9. Research activity code this training relates to:


47

10. Amount budgeted (direct and indirect costs): 11. CRSP institution this budget should go to: * Repeat the above format for additional short-term training activities.

Documents

AQUACULTURE AND FISHERIES COLLABORATIVE RESEARCH SUPPORT PROGRAM …pdacrsp.oregonstate.edu/afcrsp/Files/POP Manual.pdf · AQUACULTURE AND FISHERIES COLLABORATIVE RESEARCH SUPPORT