[Federal Register: December 10, 2001 (Volume 66, Number 237)]
[Notices]
[Page 63877-63885]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr10de01-101]
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Part IV
Department of Agriculture
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Cooperative State Research, Education, and Extension Service
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Special Research Grants Program, Potato Research: Request for
Applications and Request for Input; Notice
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DEPARTMENT OF AGRICULTURE
Cooperative State Research, Education, and Extension Service
Special Research Grants Program, Potato Research: Request for
Applications and Request for Input
AGENCY: Cooperative State Research, Education, and Extension Service,
USDA.
ACTION: Notice of Request for Applications and Request for Input.
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SUMMARY: The Cooperative State Research, Education, and Extension
Service (CSREES) announces the availability of grant funds and requests
applications for the Special Research Grants Program, Potato Research
(Potato Research) for fiscal year (FY) 2002 to facilitate or expand
ongoing State-Federal food and agricultural research programs. The
amount available for support of this program in FY 2002 will be
approximately between $1,447,000 and $1,600,000.
This notice identifies the objectives for Potato Research projects,
the eligibility criteria for projects and applicants, and the
application forms and associated instructions needed to apply for a
Potato Research grant.
By this notice, CSREES additionally requests stakeholder input from
any interested party for use in the development of the next Request for
Applications (RFA) for this program.
DATES: Applications must be received by close of business (COB) on
January 21, 2002 (5:00 p.m. Eastern Time). Applications received after
this deadline will not be considered for funding. Comments regarding
this RFA are requested within six months from the issuance of this
notice. Comments received after that date will be considered to the
extent practicable.
ADDRESSES: The address for hand-delivered applications or applications
submitted using an express mail or overnight courier service is:
Special Research Grants Program, Potato Research; c/o Proposal Services
Unit; Cooperative State Research, Education, and Extension Service;
U.S. Department of Agriculture; Room 1307, Waterfront Centre; 800 9th
Street, SW.; Washington, DC 20024; Telephone: (202)401-5048.
Applications sent via the U.S. Postal Service must be sent to the
following address: Special Research Grants Program, Potato Research; c/
o Proposal Services Unit; Cooperative State Research, Education, and
Extension Service; U.S. Department of Agriculture; STOP 2245; 1400
Independence Avenue, SW.; Washington, DC 20250-2245.
Written stakeholder comments should be submitted by mail to: Policy
and Program Liaison Staff; Office of Extramural Programs; USDA-CSREES;
STOP 2299; 1400 Independence Avenue, SW.; Washington, DC 20250-2299; or
via e-mail to: RFP-OEP@reeusda.gov. (This e-mail address is intended
only for receiving comments regarding this RFA and not requesting
information or forms.) In your comments, please state that you are
responding to the Special Research Grants Program, Potato Research RFA.
FOR FURTHER INFORMATION: Applicants and other interested parties are
encouraged to contact Ann Marie Thro; telephone: 202-401-6702; fax:
202-401-4888; email: athro@reeusda.gov.
SUPPLEMENTARY INFORMATION:
Catalog of Federal Domestic Assistance
This program is listed in the Catalog of Federal Domestic
Assistance under number 10.200.
Stakeholder Input
CSREES is requesting comments regarding this RFA from any
interested party. These comments will be considered in the development
of the next RFA for the program. Such comments will be used to meet the
requirements of section 103(c)(2) of the Agricultural Research,
Extension, and Education Reform Act of 1998 (7 U.S.C. 7613(c)(2)). This
section requires the Secretary to solicit and consider input on a
current RFA from persons who conduct or use agricultural research,
education and extension for use in formulating future RFA's for
competitive programs. Comments should be submitted as provided for in
the ADDRESSES and DATES portions of this Notice.
Table of Contents
Part I--General Information
A. Legislative Authority and Background
B. Purpose, Priorities, and Fund Availability
C. Definitions
D. Eligibility
E. Indirect Costs
F. Matching Requirements
G. Funding Restrictions
H. Types of Applications
Part II--Program Description
A. Project Types
B. Applicant Peer Review Requirements
Part III--Preparation of an Application
A. Program Application Materials
B. Content of Applications
C. Submission of Applications
D. Acknowledgment of Applications
Part IV--Review Process
A. General
B. Evaluation Criteria
C. Conflicts-of-Interest and Confidentiality
Part V--Grant Awards
A. General
B. Organizational Management Information
C. Grant Award Document and Notice of Grant Award
Part VI--Additional Information
A. Access to Review Information
B. Use of Funds; Changes
C. Expected Program Outputs and Reporting Requirements
D. Applicable Federal Statutes and Regulations
E. Confidential Aspects of Applications and Awards
F. Regulatory Information
A. Legislative Authority and Background
The authority for this program is contained in subsection (c)(1)(B)
of section 2 of the Competitive, Special, and Facilities Research Grant
Act, of Pub. L. No. 89-106, as amended (7 U.S.C. 450i(c)(1)(B)). Only
section 3400.1, Applicability of regulations, subpart C, Peer and Merit
Review Arranged by Grantees, and subpart D, Annual Reports, of the
administrative regulations at 7 CFR part 3400 for the Special Grants
Programs awarded under the authority of section 2(c) of this Act (7
U.S.C. 450i(c)) apply to grants solicited and awarded under subsection
(c)(1)(B).
In accordance with the statutory authority, grants awarded under
this program will be for the purpose of facilitating or expanding
ongoing State-Federal food and agricultural research programs that--
(i) Promote excellence in research on a regional and national
level; (ii) promote the development of regional research centers; (iii)
promote the research partnership between the Department of Agriculture,
colleges and universities, research foundations, and State agricultural
experiment stations for regional research efforts; and (iv) facilitate
coordination and cooperation of research among States through regional
research grants.
B. Purpose, Priorities, and Fund Availability
The purpose of this grant program is to support potato research
that focuses on varietal development/testing. As used herein, varietal
development/testing is research using traditional and biotechnological
genetics to develop improved potato variety(ies). Aspects of
evaluation, screening and testing must support or complement the
development of improved varieties.
There is no commitment by USDA to fund any particular application
or to make a specific number of awards. Approximately between
$1,447,000 and
[[Page 63879]]
$1,600,000 will be available to fund applications in FY 2002.
C. Definitions
For the purpose of this program, the following definitions are
applicable:
Administrator means the Administrator of the Cooperative State
Research, Education, and Extension Service (CSREES) and any other
officer or employee of the Department to whom the authority involved
may be delegated.
Authorized departmental officer (ADO) means the Secretary or any
employee of the Department with delegated authority to issue or modify
grant instruments on behalf of the Secretary.
Authorized organizational representative (AOR) means the president,
or chief executive officer of the applicant organization or the
official, designated by the president or chief executive officer of the
applicant organization, who has the authority to commit the resources
of the organization.
Budget period means the interval of time (usually 12 months) into
which the project period is divided for budgetary and reporting
purposes.
Department or USDA means the United States Department of
Agriculture.
Grantee means the organizaton designated in the grant award
document as the responsible legal entity to which a grant is awarded.
Peer review is an evaluation of a proposed project for scientific
or technical quality and relevance performed by experts with the
scientific knowledge and technical skills to conduct the proposed work
or to give expert advice on the merits of a proposal.
Peer reviewers means experts or consultants qualified by training
and experience to give expert advice on the scientific and technical
merit of grant applications or the relevance of those applications to
one or more of the proposal evaluation criteria. Peer reviewers may be
ad hoc or convened as a panel.
Project Director means the single individual designated by the
grantee in the grant application and approved by the Authorized
Departmental Officer who is responsible for the direction and
management of the project (also known as a principal investigator for
research activities).
Prior approval means written approval evidencing prior consent by
an authorized departmental officer.
Project means the particular activity within the scope of the
program supported by a grant award.
Project period means the total length of time as stated in the
award document and modifications thereto, if any, during which Federal
sponsorship begins and ends.
Secretary means the Secretary of Agriculture and any other officer
or employee of the Department to whom the authority involved is
delegated.
D. Eligibility
Applications may be submitted by State agricultural experiment
stations, land-grant colleges and universities, research foundations
established by land-grant colleges and universities, colleges and
universities receiving funds under the Act of October 10, 1962, as
amended (16 U.S.C. 582a et seq.), and accredited schools or colleges of
veterinary medicine. The proposals must be directly related to potato
varietal development/testing. Although an applicant may be eligible
based on its status as one of these entities, other factors may exclude
an applicant from receiving Federal assistance under this program
(e.g., debarment or suspension, a determination of non-responsibility
based on submitted organizational management information, etc.). Award
recipients may subcontract to organizations not eligible to apply
provided such organizations are necessary for the conduct of the
project.
E. Indirect Costs
Pursuant to Section 1473 of the National Agriculture Research,
Extension, and Teaching Policy Act of 1977, as amended, 7 U.S.C. 3319,
indirect costs are not allowable costs under section 2(c)(1)(B)
projects, and no funds will be approved for this purpose. Further,
costs that are a part of an institution's indirect cost pool (e.g.,
administrative or clerical salaries) may not be reclassified as direct
costs for the purpose of making them allowable.
F. Matching Requirements
Cost-sharing is not required nor will it be a factor in the
awarding of any grant.
G. Funding Restrictions
CSREES has determined that grant funds awarded under this authority
may not be used for renovation or refurbishment of research, education,
or extension space; the purchase or installation of fixed equipment in
such space; or the planning, repair, rehabilitation, acquisition, or
construction of buildings or facilities.
H. Types of Applications
In FY 2002, applications may be submitted to the Potato Research
Program as one of the following three types of requests:
(1) New application. This is a project application that has not
been previously submitted to the Potato Research Program. All new
applications will be reviewed competitively using the selection process
and evaluation criteria described in Part IV--Review Process.
(2) Renewal application. This is a project application that
requests additional funding for a project beyond the period that was
approved in an original or amended award. Applications for renewed
funding must contain the same information as required for new
applications, and additionally must contain a Progress Report (see
Project Description, Part III.B.6). Renewal applications must be
received by the relevant due dates, will be evaluated in competition
with other pending applications in appropriate area to which they are
assigned, and will be reviewed according to the same evaluation
criteria as new applications.
(3) Resubmitted application. This is an application that had
previously been submitted to the Potato Research Program but not
funded. Project Directors (PD's) must respond to the previous review
panel summary (see Response to Previous Review, Part III.B.5).
Resubmitted applications must be received by the relevant due dates,
will be evaluated in competition with other pending applications in
appropriate area to which they are assigned, and will be reviewed
according to the same evaluation criteria as new applications.
Part II--Program Description
A. Project Types
Each proposal submitted in FY 2002 shall request funding for a
period not to exceed one year. Funding for additional years will depend
upon the availability of funds and progress toward objectives. FY 2002
awardees would need to recompete in future years for additional
funding.
B. Applicant Peer Review Requirements
Subsection (c)(5)(A) of the Competitive, Special, and Facilities
Research Grant Act, as amended (7 U.S.C. 450i(c)(5)(A)) requires
applicants to conduct a scientific peer review of a proposed research
project in accordance with regulations promulgated by the Secretary
prior to the Secretary making a grant award under this authority.
Regulations implementing this requirement are set forth in 7 CFR
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3400.20 and 3400.21. The regulations impose the following requirements
for scientific peer review by applicants of proposed research projects:
1. Credible and independent. Review arranged by the grantee must
provide for a credible and independent assessment of the proposed
project. A credible review is one that provides an appraisal of
technical quality and relevance sufficient for an organizational
representative to make an informed judgment as to whether the proposal
is appropriate for submission for Federal support. To provide for an
independent review, such review may include USDA employees, but should
not be conducted solely by USDA employees.
2. Notice of completion and retention of records. A notice of
completion of the review shall be conveyed in writing to CSREES either
as part of the submitted proposal or prior to the issuance of an award,
at the option of CSREES (Part III. B. 15.). The written notice
constitutes certification by the applicant that a review in compliance
with these regulations has occurred. Applicants are not required to
submit results of the review to CSREES; however, proper documentation
of the review process and results should be retained by the applicant.
3. Renewal and supplemental grants. Review by the grantee is not
automatically required for renewal or supplemental grants as defined in
7 CFR 3400.6. A subsequent grant award will require a new review if,
according to CSREES, either the funded project has changed
significantly, other scientific discoveries have affected the project,
or the need for the project has changed. Note that a new review is
necessary when applying for another standard or continuation grant
after expiration of the grant term.
Part III--Preparation of an Application
A. Program Application Materials
Program application materials are available at the CSREES Funding
Opportunities web site (http://www.reeusda.gov/1700/funding/
ourfund.htm). If you do not have access to the web page or have trouble
downloading material and you would like a hardcopy, you may contact the
Proposal Services Unit, Office of Extramural Programs, USDA/CSREES at
(202) 401-5048. When calling the Proposal Services Unit, please
indicate that you are requesting the RFA and associated application
forms for the Special Research Grants Program, Potato Research. These
materials also may be requested via Internet by sending a message with
your name, mailing address (not e-mail) and phone number to
psb@reeusda.gov. State that you want a copy of the RFA and the
associated application forms for Special Research Grants Program,
Potato Research.
B. Content of Applications
1. General
Use the following guidelines to prepare an application. Proper
preparation of applications will assist reviewers in evaluating the
merits of each application in a systematic, consistent fashion:
(a) Prepare the application on only one side of the page using
standard size (8\1/2\" x 11") white paper, one-inch margins, typed or
word processed using no type smaller than 12 point font, and single or
double spaced. Use an easily readable font face (e.g., Geneva,
Helvetica, Times Roman).
(b) Number each page of the application sequentially, starting with
the Project Description, including the budget pages, required forms,
and any appendices.
(c) Staple the application in the upper left-hand corner. Do not
bind. An original and 18 copies (19 total) must be submitted in one
package, along with 2 additional copies of the ``Project Summary,''
Form CSREES-2003, as a separate attachment.
(d) Include original illustrations (photographs, color prints,
etc.) in all copies of the application to prevent loss of meaning
through poor quality reproduction.
(e) The contents of the application should be assembled in the
following order:
(1) Proposal Cover Page (Form CSREES-2002)
(2) Table of Contents
(3) Project Summary (Form CSREES-2003)
(4) Response to Previous Review
(5) Project Description
(6) References
(7) Appendices to Project Description
(8) Key Personnel
(9) Collaborative Arrangements (including Letters of Support)
(10) Conflict-of-Interest List (Form CSREES-2007)
(11) Budget (Form CSREES-2004)
(12) Budget Narrative
(13) Matching
(14) Current and Pending Support (Form CSREES-2005)
(15) Assurance Statement(s) (Form CSREES-2008)
(16) Compliance with the National Environmental Policy Act (NEPA)
(Form CSREES-2006)
(17) Page B, Proposal Cover Page (Form CSREES-2002), Personal Data
on Project Director
2. Proposal Cover Page (Form CSREES-2002)
a. Page A
Each copy of each grant application must contain a ``Proposal Cover
Page'', Form CSREES-2002. One copy of the application, preferably the
original, must contain the pen-and-ink signature(s) of the proposing
PD's and the authorized organizational representative (AOR), the
individual who possesses the necessary authority to commit the
organization's time and other relevant resources to the project. If
there are more than four co-PD's for an application, please list
additional co-PD's on a separate sheet of paper (with appropriate
information and signatures) and attach to the Proposal Cover Page (Form
CSREES-2002). Any proposed PD or co-PD whose signature does not appear
on Form CSREES-2002 or attached additional sheets will not be listed on
any resulting grant award. Complete both signature blocks located at
the bottom of the ``Proposal Cover Page'' form. Please note that Form
CSREES-2002 is comprised of two parts--Page A which is the ``Proposal
Cover Page'' and Page B which is the ``Personal Data on Project
Director.''
Form CSREES-2002 serves as a source document for the CSREES grant
database; it is therefore important that it be accurately completed in
its entirety, especially the e-mail addresses requested in blocks 4.c.
and 18.c. However, the following items are highlighted as having a high
potential for errors or misinterpretations:
(a) Type of Performing Organization (Block 6A and 6B).
For block 6A, a check should be placed in the appropriate box to
identify the type of organization which is the legal recipient named in
block 1. Only one box should be checked. For block 6B, please check as
many boxes that apply to the affiliation of the PD listed in block 16.
(b) Title of Proposed Project (Block 7). The title of the project
must be brief (140-character maximum, including spaces), yet represent
the major thrust of the effort being proposed. Project titles are read
by a variety of nonscientific people; therefore, highly technical words
or phraseology should be avoided where possible. In addition,
introductory phrases such as ``investigation of,'' ``research on,''
``education for,'' or ``outreach that'' should not be used.
(c) Program to Which You Are Applying (Block 8). Enter Special
Research Grants Program, Potato Research. The reference to Program Area
(i.e., name of the program component)
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and Number should be ignored in this block.
(d) Type of Request (Block 14). Check the appropriate box.
(e) Project Director (PD) (Blocks 16-19). Blocks 16-18 are used to
identify the PD and Block 19 to identify co-PD's. If needed, additional
co-PD's may be listed on a separate sheet of paper and attached to Form
CSREES-2002, the Proposal Cover Page, with the applicable co-PD
information and signatures. Listing multiple co-PD's, beyond those
required for genuine collaboration, is discouraged.
(f) Other Possible Sponsors (Block 21). List the names or acronyms
of all other public or private sponsors including other agencies within
USDA to which your application has been or might be sent. In the event
you decide to send your application to another organization or agency
at a later date, you must inform the identified CSREES program contact
as soon as practicable. Submitting your application to other potential
sponsors will not prejudice its review by CSREES; however, submitting
the same (i.e., duplicate) application to another CSREES program is not
permissible.
b. Page B
Page B should be submitted only with the original signature copy of
the application and should be placed as the last page of the original
copy of the application. This page contains personal data on the PD(s).
CSREES requests this information in order to monitor the operation of
its review and awards processes. This page will not be duplicated or
used during the review process. Please note that failure to submit this
information will in no way affect consideration of your application.
3. Table of Contents
For consistency and ease in locating information, each application
must contain a detailed Table of Contents immediately following the
proposal cover page. The Table of Contents should contain page numbers
for each component of the application. Page numbering should begin with
the first page of the Project Description.
4. Project Summary (Form CSREES-2003)
The application must contain a ``Project Summary,'' Form CSREES-
2003. The summary should be approximately 250 words, contained within
the box, placed immediately after the Table of Contents, and not
numbered. The names and affiliated organizations of all PD's and co-
PD's should be listed on this form, in addition to the title of the
project. The summary should be a self-contained, specific description
of the activity to be undertaken and should focus on: overall project
goal(s) and supporting objectives; plans to accomplish project goal(s);
and relevance of the project to the goals of the Potato Research
Program. The importance of a concise, informative Project Summary
cannot be overemphasized. If there are more than four co-PD's for an
application, please list additional co-PD's on a separate sheet of
paper (with appropriate information) and attach to the Project Summary
(Form CSREES-2003).
5. Response to Previous Review
This requirement only applies to ``Resubmitted Applications'' as
described under Part I, H, ``Types of Applications.'' Project Directors
(PD's) must respond to the previous review panel summary on no more
than one page, titled ``RESPONSE TO PREVIOUS REVIEW,'' which is to be
placed directly after the ``Project Summary,'' Form CSREES-2003.
6. Project Description
Please Note: The Project Description shall not exceed 20 pages of
written text and up to five additional pages for figures and tables.
This maximum (25 pages) has been established to ensure fair and
equitable competition. The Project Description must include all of the
following:
a. Introduction: A clear statement of the long-term goal(s) and
supporting objectives of the proposed activities should be included.
Summarize the body of knowledge or other past activities which
substantiate the need for the proposed project. Describe ongoing or
recently completed significant activities related to the proposed
project including the work of key project personnel. Preliminary data/
information pertinent to the proposed project should be included. In
addition, this section should include in-depth information on the
following, when applicable:
(1) Estimates of the magnitude of the issues and their relevance to
stakeholders and to ongoing State-Federal food and agricultural
research.
(2) Role of the stakeholders in problem identification, planning,
and implementation and evaluation as appropriate.
(3) Reasons for having the work performed at the proposing
institution.
b. Objectives: Clear, concise, complete, and logically arranged
statement(s) of specific aims of the proposed effort must be included
in all proposals.
c. Methods: The procedures or methodology to be applied to the
proposed effort should be explicitly stated. This section should
include but not necessarily be limited to:
(1) A description of stakeholder involvement in problem
identification, planning, implementation and evaluation;
(2) A description of the proposed project activities in the
sequence in which it is planned to carry them out;
(3) Techniques to be employed, including their feasibility and
rationale for their use in this project;
(4) Kinds of results expected;
(5) Means by which data will be analyzed or interpreted;
(6) Pitfalls that might be encountered; and
(7) Limitations to proposed procedures.
d. Cooperation and Institutional Units Involved: Cooperative,
multi-institutional and multi-disciplinary applications are encouraged.
Identify each institutional unit contributing to the project and
designate the lead institution or institutional unit. When appropriate,
the project should be coordinated with the efforts of other State and/
or national programs. Clearly define the roles and responsibilities of
each institutional partner of the project team.
e. Facilities and Equipment: All facilities which are available for
use or assignment to the project during the requested period of support
should be reported and described briefly. All items of major equipment
or instrumentation available for use or assignment to the proposed
project should be itemized. In addition, items of nonexpendable
equipment needed to conduct and bring the project to a successful
conclusion should be listed, including dollar amounts and, if funds are
requested for their acquisition, justified.
f. Project Timetable: The proposal should outline all important
phases as a function of time, year by year, for the entire project,
including periods beyond the grant funding period.
g. Renewal Applications: If the proposal is a renewal of an
existing project supported under the same program, include a clearly
identified summary progress report describing the results to date. The
progress report should contain the following information:
1. A comparison of actual accomplishments with the goals
established for the active grant;
2. The reasons for slippage if established goals were not met; and
3. Other pertinent information, including, when appropriate, cost
[[Page 63882]]
analysis and explanation of cost overruns or unexpectedly high unit
costs.
The progress report should be placed immediately after the
``Project Summary''.
7. References
All references to works cited should be complete, including titles
and all co-authors, and should conform to an acceptable journal format.
References are not considered in the page-limitation for the Project
Description.
8. Appendices to Project Description
Appendices to the Project Description are allowed if they are
directly germane to the proposed project. The addition of appendices
should not be used to circumvent the text and/or figures and tables
page limitations.
9. Key Personnel
The following should be included, as applicable:
(a) The roles and responsibilities of each PD and/or collaborator
should be clearly described; and
(b) Vitae of the PD and each co-PD, senior associate, and other
professional personnel. This section should include vitae of all key
persons who are expected to work on the project, whether or not CSREES
funds are sought for their support. The vitae should be limited to two
(2) pages each in length, excluding publications listings. The vitae
should include a presentation of academic and research credentials, as
applicable, e.g., earned degrees, teaching experience, employment
history, professional activities, honors and awards, and grants
received. A chronological list of all publications in refereed journals
during the past four (4) years, including those in press, must be
provided for each project member for whom a curriculum vitae is
provided. Also list only those non-refereed technical publications that
have relevance to the proposed project. All authors should be listed in
the same order as they appear on each paper cited, along with the title
and complete reference as these usually appear in journals.
10. Collaborative Arrangements
If it will be necessary to enter into formal consulting or
collaborative arrangements with others, such arrangements should be
fully explained and justified. If the consultant(s) or collaborator(s)
are known at the time of application, a vitae or resume should be
provided. In addition, evidence (e.g., letter of support) should be
provided that the collaborators involved have agreed to render these
services. The applicant also will be required to provide additional
information on consultants and collaborators in the budget portion of
the application. See instructions in the application forms for
completing Form CSREES-2004, Budget.
11. Conflict-of-Interest List (Form CSREES-2007)
A ``Conflict-of-Interest List,'' Form CSREES-2007, must be provided
for all individuals who have submitted a vitae in response to item
9.(b) of this part. Each Form CSREES-2007 should list alphabetically,
by the last names, the full names of the individuals in the following
categories: (a) All co-authors on publications within the past four
years, including pending publications and submissions; (b) all
collaborators on projects within the past four years, including current
and planned collaborations; (c) all thesis or postdoctoral advisees/
advisors within the past four years; and (d) all persons in your field
with whom you have had a consulting or financial arrangement within the
past four years, who stand to gain by seeing the project funded. This
form is necessary to assist program staff in excluding from application
review those individuals who have conflicts of interest with the
personnel in the grant application. The program contact must be
informed of any additional conflicts of interest that arise after the
application is submitted.
12. Budget (Form CSREES-2004)
a. General
Prepare the Budget, Form CSREES-2004, in accordance with
instructions provided with the application forms. A budget form is
required for each year of requested support. In addition, a cumulative
budget is required detailing the requested total support for the
overall project period. The budget form may be reproduced as needed by
applicants. Funds may be requested under any of the categories listed
on the form, provided that the item or service for which support is
requested is allowable under the authorizing legislation, the
applicable statutes, regulations, and Federal cost principles, and
these program guidelines, and can be justified as necessary for the
successful conduct of the proposed project. Applicants also must
include a budget narrative to justify their budget requests (see
section b. below.)
b. Budget Narrative
All budget categories, with the exception of Indirect Costs, for
which support is requested, must be individually listed (with costs) in
the same order as the budget and justified on a separate sheet of paper
and placed immediately behind the Budget form.
13. Current and Pending Support (Form CSREES-2005)
All applications must contain Form CSREES-2005 listing other
current public or private support (including in-house support) to which
personnel (i.e., individuals submitting a vitae in response to item
9.(b) of this part) identified in the application have committed
portions of their time, whether or not salary support for person(s)
involved is included in the budget. Please follow the instructions
provided on this form. Concurrent submission of identical or similar
applications to the possible sponsors will not prejudice application
review or evaluation by the CSREES. However, an application that
duplicates or overlaps substantially with an application already
reviewed and funded (or to be funded) by another organization or agency
will not be funded under this program. Please note that the project
being proposed should be included in the pending section of the form.
14. Assurance Statement(s) (Form CSREES-2008)
A number of situations encountered in the conduct of projects
require special assurances, supporting documentation, etc., before
funding can be approved for the project. In addition to any other
situation that may exist with regard to a particular project,
applications involving any of the following elements must comply with
the additional requirements as applicable.
a. Recombinant DNA or RNA Research
As stated in 7 CFR part 3015.205(b)(3), all key personnel
identified in the application and all endorsing officials of the
proposing organization are required to comply with the guidelines
established by the National Institutes of Health entitled, ``Guidelines
for Research Involving Recombinant DNA Molecules,'' as revised. If your
project proposes to use recombinant DNA or RNA techniques, you must so
indicate by checking the ``yes'' box in Block 20 of Form CSREES-2002
(the Proposal Cover Page) and by completing Section A of Form CSREES-
2008. For applicable applications recommended for funding,
Institutional Biosafety Committee approval is required before CSREES
funds will be released. Please refer to the application forms for
further instructions.
[[Page 63883]]
b. Animal Care
Responsibility for the humane care and treatment of live vertebrate
animals used in any grant project supported with funds provided by
CSREES rests with the performing organization. Where a project involves
the use of living vertebrate animals for experimental purposes, all key
personnel identified in an application and all endorsing officials of
the proposing organization are required to comply with the applicable
provisions of the Animal Welfare Act of 1966, as amended (7 U.S.C. 2131
et seq., and the regulations promulgated thereunder by the Secretary in
9 CFR parts 1, 2, 3, and 4 pertaining to the care, handling, and
treatment of these animals. If your project will involve these animals,
you should check ``yes'' in block 20 of Form CSREES-2002 and complete
Section B of Form CSREES-2008. In the event a project involving the use
of live vertebrate animals results in a grant award, funds will be
released only after the Institutional Animal Care and Use Committee has
approved the project. Please refer to the application forms for further
instructions.
c. Protection of Human Subjects
Responsibility for safeguarding the rights and welfare of human
subjects used in any grant project supported with funds provided by
CSREES rests with the performing organization. Guidance on this issue
is contained in the National Research Act, Pub. L. No. 93-348, as
amended, and implementing regulations promulgated by the Department
under 7 CFR Part 1c. If you propose to use human subjects in your
project, you should check the ``yes'' box in Block 20 of Form CSREES-
2002 and complete Section C of Form CSREES-2008. Please refer to the
application forms for additional instructions.
15. Certifications
By signing Form CSREES-2002, the AOR of the applicant institution
is providing the required certification that the full proposal has
received a credible and independent peer review arranged by the
institution (see Part II. A.).
Note that by signing Form CSREES-2002 the applicant is providing
the certifications required by 7 CFR part 3017, regarding Debarment and
Suspension and Drug-Free Workplace, and 7 CFR part 3018, regarding
Lobbying. The certification forms are included in the application
package for informational purposes only. These forms should not be
submitted with the application since by signing Form CSREES-2002 your
organization is providing the required certifications. If the project
will involve a subcontractor or consultant, the subcontractor/
consultant should submit a Form AD-1048, Certification Regarding
Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower
Tier Covered Transactions, to the grantee organization for retention in
their records. This form should not be submitted to USDA.
16. Compliance With the National Environmental Policy Act (NEPA) (Form
CSREES-2006)
As outlined in 7 CFR part 3407 (the Cooperative State Research,
Education, and Extension Service regulations implementing NEPA), the
environmental data for any proposed project is to be provided to CSREES
so that CSREES may determine whether any further action is needed. In
some cases, however, the preparation of environmental data may not be
required. Certain categories of actions are excluded from the
requirements of NEPA.
In order for CSREES to determine whether any further action is
needed with respect to NEPA, pertinent information regarding the
possible environmental impacts of a particular project is necessary;
therefore, Form CSREES-2006, ``NEPA Exclusions Form,'' must be included
in the application indicating whether the applicant is of the opinion
that the project falls within a categorical exclusion and the reasons
therefore. If it is the applicant's opinion that the proposed project
falls within the categorical exclusions, the specific exclusion(s) must
be identified.
Even though a project may fall within the categorical exclusions,
CSREES may determine that an Environmental Assessment or an
Environmental Impact Statement is necessary for an activity, if
substantial controversy on environmental grounds exists or if other
extraordinary conditions or circumstances are present which may cause
such activity to have a significant environmental effect.
C. Submission To Applications
1. When To Submit (Deadline Date)
Applications must be received by COB on on January 21, 2002 (5:00
p.m. Eastern Time). Applications received after this deadline will not
be considered for funding.
2. What To Submit
An original and 18 copies must be submitted. In addition submit two
additional copies of the application's Project Summary. All copies of
the application and the Project Summary must be submitted in one
package.
3. Where To Submit
Applicants are strongly encouraged to submit completed applications
via overnight mail or delivery service to ensure timely receipt by the
USDA. The address for hand-delivered applications or applications
submitted using an express mail or overnight courier service is:
Special Research Grants Program, Potato Research; c/o Proposal Services
Unit; Cooperative State Research, Education, and Extension Service;
U.S. Department of Agriculture; Room 1307, Waterfront Centre; 800 9th
Street, SW.; Washington, DC 20024; Telephone: (202) 401-5048.
Applications sent via the U.S. Postal Service must be sent to the
following address: Special Research Grants Program, Potato Research; c/
o Proposal Services Unit; Cooperative State Research, Education, and
Extension Service; U.S. Department of Agriculture; STOP 2245; 1400
Independence Avenue, SW.; Washington, DC 20250-2245.
D. Acknowledgment of Applications
The receipt of all applications will be acknowledged by e-mail.
Therefore, applicants are strongly encouraged to provide accurate e-
mail addresses, where designated, on the Form CSREES-2002. If the
applicant's e-mail address is not indicated, CSREES will acknowledge
receipt of the application by letter.
If the applicant does not receive an acknowledgment within 60 days
of the submission deadline, please contact the program contact. Once
the application has been assigned an application number, please cite
that number on all future correspondence.
Part IV--Review Process
A. General
Each application will be evaluated in a 2-part process. First, each
application will be screened to ensure that it meets the administrative
requirements as set forth in this RFA. Second, applications that meet
these requirements will be technically evaluated by a review panel.
Reviewers will be selected based upon training and experience in
relevant scientific, extension, or education fields, taking into
account the following factors: (a) The level of relevant formal
scientific, technical education, or extension experience of the
individual, as well as the extent to which an individual is engaged in
relevant research, education, or
[[Page 63884]]
extension activities; (b) the need to include as reviewers experts from
various areas of specialization within relevant scientific, education,
or extension fields; (c) the need to include as reviewers other experts
(e.g., producers, range or forest managers/operators, and consumers)
who can assess relevance of the applications to targeted audiences and
to program needs; (d) the need to include as reviewers experts from a
variety of organizational types (e.g., colleges, universities,
industry, state and Federal agencies, private profit and non-profit
organizations) and geographic locations; (e) the need to maintain a
balanced composition of reviewers with regard to minority and female
representation and an equitable age distribution; and (f) the need to
include reviewers who can judge the effective usefulness to producers
and the general public of each application.
B. Evaluation Criteria
The evaluation criteria below will be used in reviewing
applications submitted in response to this RFA:
I. Relevance
Relevance and importance of proposed research to specific problems
or opportunities; value of expected results for States beyond the State
in which the project leader resides and will perform the work--20
points.
II. Quality
Overall scientific and technical quality of the proposal and the
specific approach proposed--20 points.
III. Feasibility
Feasibility of attaining objectives; adequacy of training,
experience, facilities, and equipment--20 points.
IV. Participation
Proposals that provide evidence of cooperation or involvement of
multiple institutions or states--5 points.
Proposals that list more than one state as recipient of funds--10
points.
Evidence of stakeholder participation, including growers, in
developing the project objectives--5 points.
Stakeholder participation in project implementation or monitoring--
5 points.
V. Co-Funding
Proposals that provide evidence of funding from identified state,
regional, or industry sources (e.g., check-off programs)--15 points.
C. Conflicts of Interest and Confidentiality
During the peer evaluation process, extreme care will be taken to
prevent any actual or perceived conflicts of interest that may impact
review or evaluation. For the purpose of determining conflicts of
interest, the academic and administrative autonomy of an institution
shall be determined by reference to the 2002 Higher Education
Directory, published by Higher Education Publications, Inc., 6400
Arlington Boulevard, Suite 648, Falls Church, Virginia 22042. Phone:
(703) 532-2300. Web site: http://www.hepinc.com.
Names of submitting institutions and individuals, as well as
application content and peer evaluations, will be kept confidential,
except to those involved in the review process, to the extent permitted
by law. In addition, the identities of peer reviewers will remain
confidential throughout the entire review process. Therefore, the names
of the reviewers will not be released to applicants. At the end of the
fiscal year, names of panelists will be made available in such a way
that the panelists cannot be identified with the review of any
particular application.
Part V--Grant Awards
A. General
Within the limit of funds available for such purpose, the awarding
official of CSREES shall make grants to those responsible, eligible
applicants whose applications are judged most meritorious under the
procedures set forth in this RFA. The date specified by the awarding
official of CSREES as the effective date of the grant shall be no later
than September 30 of the Federal fiscal year in which the project is
approved for support and funds are appropriated for such purpose,
unless otherwise permitted by law. It should be noted that the project
need not be initiated on the grant effective date, but as soon
thereafter as practical so that project goals may be attained within
the funded project period. All funds granted by CSREES under this RFA
shall be expended solely for the purpose for which the funds are
granted in accordance with the approved application and budget, the
regulations, the terms and conditions of the award, the applicable
Federal cost principles, and the Department's assistance regulations
(parts 3015 and 3019 of 7 CFR).
B. Organizational Management Information
Specific management information relating to an applicant shall be
submitted on a one-time basis as part of the responsibility
determination prior to the award of a grant identified under this RFA,
if such information has not been provided previously under this or
another CSREES program. CSREES will provide copies of forms recommended
for use in fulfilling these requirements as part of the preaward
process. Although an applicant may be eligible based on its status as
one of these entities, there are factors which may exclude an applicant
from receiving Federal financial and nonfinancial assistance and
benefits under this program (e.g., debarment or suspension of an
individual involved or a determination that an applicant is not
responsible based on submitted organizational management information).
C. Grant Award Document and Notice of Grant Award
The grant award document shall include at a minimum the following:
(1) Legal name and address of performing organization or
institution to whom the Administrator has awarded a grant under the
terms of this request for applications;
(2) Title of project;
(3) Name(s) and institution(s) of PD's chosen to direct and control
approved activities;
(4) Identifying grant number assigned by the Department;
(5) Project period, specifying the amount of time the Department
intends to support the project without requiring recompetition for
funds;
(6) Total amount of Departmental financial assistance approved by
the Administrator during the project period;
(7) Legal authority(ies) under which the grant is awarded;
(8) Appropriate Catalog of Federal Domestic Assistance (CFDA)
number;
(9) Approved budget plan for categorizing allocable project funds
to accomplish the stated purpose of the grant award; and
(10) Other information or provisions deemed necessary by CSREES to
carry out its respective granting activities or to accomplish the
purpose of a particular grant.
The notice of grant award, in the form of a letter, will be
prepared and will provide pertinent instructions or information to the
grantee that is not included in the grant award document.
[[Page 63885]]
Part VI--Additional Information
A. Access to Review Information
Copies of reviews, not including the identity of reviewers, and a
summary of the panel comments will be sent to the applicant PD after
the review process has been completed.
B. Use of Funds; Changes
1. Delegation of Fiscal Responsibility
Unless the terms and conditions of the grant state otherwise, the
grantee may not in whole or in part delegate or transfer to another
person, institution, or organization the responsibility for use or
expenditure of grant funds.
2. Changes in Project Plans
a. The permissible changes by the grantee, PD(s), or other key
project personnel in the approved project grant shall be limited to
changes in methodology, techniques, or other similar aspects of the
project to expedite achievement of the project's approved goals. If the
grantee or the PD(s) is uncertain as to whether a change complies with
this provision, the question must be referred to the Authorized
Departmental Officer (ADO) for a final determination. The ADO is the
signatory of the award document, not the program contact.
b. Changes in approved goals or objectives shall be requested by
the grantee and approved in writing by the ADO prior to effecting such
changes. In no event shall requests for such changes be approved which
are outside the scope of the original approved project.
c. Changes in approved project leadership or the replacement or
reassignment of other key project personnel shall be requested by the
grantee and approved in writing by the ADO prior to effecting such
changes.
d. Transfers of actual performance of the substantive programmatic
work in whole or in part and provisions for payment of funds, whether
or not Federal funds are involved, shall be requested by the grantee
and approved in writing by the ADO prior to effecting such transfers,
unless prescribed otherwise in the terms and conditions of the grant.
e. Changes in Project Period: The project period may be extended by
CSREES without additional financial support, for such additional
period(s) as the ADO determines may be necessary to complete or fulfill
the purposes of an approved project, but in no case shall the total
project period exceed five years. Any extension of time shall be
conditioned upon prior request by the grantee and approval in writing
by the ADO, unless prescribed otherwise in the terms and conditions of
a grant.
f. Changes in Approved Budget: Changes in an approved budget must
be requested by the grantee and approved in writing by the ADO prior to
instituting such changes if the revision will involve transfers or
expenditures of amounts requiring prior approval as set forth in the
applicable Federal cost principles, Departmental regulations, or grant
award.
C. Applicable Federal Statutes and Regulations
Several Federal statutes and regulations apply to grant
applications considered for review and to project grants awarded under
this program. These include, but are not limited to:
7 CFR Part 1.1--USDA implementation of the Freedom of Information
Act.
7 CFR Part 3--USDA implementation of OMB Circular No. A-129
regarding debt collection.
7 CFR Part 15, subpart A--USDA implementation of Title VI of the
Civil Rights Act of 1964, as amended.
7 CFR Part 3015--USDA Uniform Federal Assistance Regulations,
implementing OMB directives (i.e., OMB Circular Nos. A-21 and A-122)
and incorporating provisions of 31 U.S.C. 6301-6308 (formerly the
Federal Grant and Cooperative Agreement Act of 1977, Pub. L. No. 95-
224), as well as general policy requirements applicable to recipients
of Departmental financial assistance.
7 CFR Part 3017--USDA implementation of Governmentwide Debarment
and Suspension (Nonprocurement) and Governmentwide Requirements for
Drug-Free Workplace (Grants).
7 CFR Part 3018--USDA implementation of Restrictions on Lobbying.
Imposes prohibitions and requirements for disclosure and certification
related to lobbying on recipients of Federal contracts, grants,
cooperative agreements, and loans.
7 CFR Part 3019--USDA implementation of OMB Circular A-110, Uniform
Administrative Requirements for Grants and Other Agreements With
Institutions of Higher Education, Hospitals, and Other Nonprofit
Organizations.
7 CFR Part 3052--USDA implementation of OMB Circular No. A-133,
Audits of States, Local Governments, and Non-profit Organizations.
7 CFR Part 3407--CSREES procedures to implement the National
Environmental Policy Act of 1969, as amended.
29 U.S.C. 794 (section 504, Rehabilitation Act of 1973) and 7 CFR
Part 15b (USDA implementation of statute)-- prohibiting discrimination
based upon physical or mental handicap in Federally assisted programs.
35 U.S.C. 200 et seq.--Bayh-Dole Act, controlling allocation of
rights to inventions made by employees of small business firms and
domestic nonprofit organizations, including universities, in Federally
assisted programs (implementing regulations are contained in 37 CFR
part 401).
D. Confidential Aspects of Applications and Awards
When an application results in a grant, it becomes a part of the
record of CSREES transactions, available to the public upon specific
request. Information that the Secretary determines to be of a
confidential, privileged, or proprietary nature will be held in
confidence to the extent permitted by law. Therefore, any information
that the applicant wishes to have considered as confidential,
privileged, or proprietary should be clearly marked within the
application. The original copy of an application that does not result
in a grant will be retained by the Agency for a period of one year.
Other copies will be destroyed. Such an application will be released
only with the consent of the applicant or to the extent required by
law. An application may be withdrawn at any time prior to the final
action thereon.
E. Regulatory Information
For the reasons set forth in the final Rule-related Notice to 7 CFR
part 3015, subpart V (48 FR 29114, June 24, 1983), this program is
excluded from the scope of the Executive Order 12372 which requires
intergovernmental consultation with State and local officials. Under
the provisions of the Paperwork Reduction Act of 1995 (44 U.S.C.
chapter 35), the collection of information requirements contained in
this Notice have been approved under OMB Document No. 0524-0039.
Done at Washington, DC, this 3rd day of December, 2001.
Colien Hefferan,
Administrator, Cooperative State Research, Education, and Extension
Service.
[FR Doc. 01-30394 Filed 12-7-01; 8:45 am]
BILLING CODE 3410-22-P
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