[Federal Register Volume 63, Number 2 (Monday, January 5, 1998)]
[Notices]
[Pages 390-397]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-119]
[[Page 389]]
_______________________________________________________________________
Part VI
Department of Agriculture
_______________________________________________________________________
Cooperative State Research, Education, and Extension Service
_______________________________________________________________________
Request for Proposals (RFP): Special Research Grants Program, Potato
Research; Notice
Federal Register / Vol. 63, No. 2 / Monday, January 5, 1998 /
Notices
[[Page 390]]
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DEPARTMENT OF AGRICULTURE
Cooperative State Research, Education, and Extension Service
Request for Proposals (RFP): Special Research Grants Program,
Potato Research
AGENCY: Cooperative State Research, Education, and Extension Service,
USDA.
ACTION: Notice.
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SUMMARY: The Cooperative State Research, Education, and Extension
Service announces the availability of grant funds and requests
proposals for the Special Research Grants Program, Potato Research for
fiscal year (FY) 1998. Subject to the availability of funds, the
anticipated amount available for support of this program in FY 1998 is
$1,134,814.
This notice sets out the objectives for these projects, the
eligibility criteria for projects and applicants, the application
procedures, and the set of instructions needed to apply for a Potato
Research Project grant. To obtain application forms, please contact the
Proposal Services Unit, Grants Management Branch; Office of Extramural
Programs; USDA/CSREES at (202) 401-5048. When calling the Proposal
Services Unit, please indicate that you are requesting forms for the
Special Research Grants Program, Potato Research.
DATES: Applications must be received on or before February 19, 1998.
Proposals received after February 19, 1998, will not be considered for
funding.
FOR FURTHER INFORMATION CONTACT: Dr. James Parochetti, Cooperative
State Research, Education, and Extension Service, U.S. Department of
Agriculture, STOP 2220, 1400 Independence Avenue, S.W., Washington,
D.C. 20250-2220; telephone (202) 401-4354; Internet:
jparochetti@reeusda.gov.
SUPPLEMENTARY INFORMATION:
Table of Contents
Part I--General Information
A. Legislative Authority
B. Definitions
C. Eligibility
Part II--Program Description
A. Purpose of the Program
B. Available Funds and Award Limitations
Part III--How to Obtain Application Materials
Part IV--Content of a Proposal
A. ``Application for Funding'' (Form CSREES-661)
B. Table of Contents
C. Objectives
D. Progress Report
E. Procedures
F. Justification
G. Cooperation and Institutional Units Involved
H. Literature Review
I. Current Work
J. Facilities and Equipment
K. Project Timetable
L. Personnel Support
M. Collaborative and/or Subcontractual Arrangements
N. ``Budget'' (Form CSREES-55)
O. ``Current and Pending Support'' (Form CSREES-663)
P. ``Assurance Statement(s)'' (Form CSREES-662)
Q. Certifications
R. Compliance with the National Environmental Policy Act
S. Additions to Project Description
Part V--Submission of a Proposal
A. What to Submit
B. Where and When to Submit
C. Acknowledgment of Proposals
Part VI--Selection Process and Evaluation Criteria
A. Selection Process
B. Evaluation Criteria
Part VII--Supplementary Information
A. Access to Peer Review Information
B. Grant Awards
C. Use of Funds; Changes
D. Other Federal Statutes and Regulations that Apply
E. Confidential Aspects of Proposals and Awards
F. Regulatory Information
Part I--General Information
A. Legislative Authority
The authority for this program is contained in section 2(c)(1)(B)
of the Act of August 4, 1965, Pub. L. No. 89-106, as amended (7 U.S.C.
450i(c)(1)(B)). The administrative regulations at 7 CFR part 3400 for
Special Grants Programs awarded under the authority of section
2(c)(1)(A) of this Act (7 U.S.C. 450i(c)(1)(A)) do not apply to grants
solicited and awarded under this RFP.
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. Definitions
For the purpose of awarding grants under this program, the
following definitions are applicable:
(1) 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.
(2) Authorized departmental officer means the Secretary or any
employee of the Department who has the authority to issue or modify
grant instruments on behalf of the Secretary.
(3) Authorized organizational representative means the president,
chief executive officer or functional equivalent of the applicant
organization or the official, designated by the president, chief
executive officer or functional equivalent of the applicant
organization, who has the authority to commit the resources of the
organization.
(4) Budget period means the interval of time (usually 12 months)
into which the project period is divided for budgetary and reporting
purposes.
(5) Department or USDA means the United States Department of
Agriculture.
(6) Grantee means the entity designated in the grant award document
as the responsible legal entity to which a grant is awarded.
(7) Peer review panel means a group of experts qualified by
training and experience in particular fields to give expert advice on
the scientific and technical merit of grant applications in such
fields, who evaluate eligible proposals submitted to this program in
their personal area(s) of expertise.
(8) Principal Investigator/Project Director means the single
individual designated by the grantee in the grant application and
approved by the Secretary who is responsible for the direction and
management of the project. Note that a proposal may have multiple
secondary co-principal investigators/project directors but only one
principal investigator/project director.
(9) Prior approval means written approval evidencing prior consent
by an authorized departmental officer as defined in (2) above.
(10) Project means the particular activity within the scope of the
program supported by a grant award.
(11) Project period means the total length of time that is approved
by the Administrator for conducting the research project, as stated in
the award document and modifications thereto, if
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any, during which Federal sponsorship begins and ends.
(12) Secretary means the Secretary of Agriculture and any other
officer or employee of the Department to whom the authority involved
may be delegated.
C. Eligibility
Proposals 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).
Part II--Program Description
A. Purpose of the Program
Proposals are invited for competitive grant awards under the
Special Research Grants Program, Potato Research for fiscal year (FY)
1998. 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 compliment the
development of improved varieties. This program is administered by the
Cooperative State Research, Education, and Extension Service (CSREES)
of USDA.
B. Available Funds and Award Limitations
Funds will be awarded on a competitive basis to support regional
research projects that are composed of potato research that focuses on
varietal development/testing. For purposes of this program, regional
research means research having application beyond the immediate State
in which the awardee resides and performs the project. The total amount
of funds available in FY 1998 for support of this program is
approximately $1,134,814. Each proposal submitted in FY 1998 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 1998 awardees would need to recompete in
future years for additional funding.
Under this program, and subject to the availability of funds, the
Secretary may make grant awards for the support of research projects
available for up to five years to further the program.
In addition, section 716 of the Agriculture, Rural Development,
Food and Drug Administration, and Related Agencies Appropriations Act,
1998, Pub. L. No. 105-86, encourages entities receiving Federal
financial assistance to use grant funds to purchase only American-made
equipment or products in the case of any equipment or product
authorized to be purchased with funds provided under this program.
Part III--How to Obtain Application Materials
Copies of this solicitation and the Application Kit may be obtained
by writing to the address or calling the telephone number which
follows: Proposal Services Unit, Grants Management Branch; Office of
Extramural Programs; Cooperative State Research, Education, and
Extension Service; U.S. Department of Agriculture; STOP 2245; 1400
Independence Ave., S.W.; Washington D.C. 20250-2245; Telephone: (202)
401-5048. When contacting the Proposal Services Unit, please indicate
that you are requesting forms for the Special Research Grants Program,
Potato Research.
These materials may also be requested via Internet by sending a
message with your name, mailing address (not e-mail) and phone number
to psb@reeusda.gov which states that you want a copy of the application
materials for the FY 1998 Special Research Grants Program, Potato
Research. The materials will then be mailed to you (not e-mailed) as
quickly as possible.
Part IV--Content of a Proposal
All applications should be typed on 8\1/2\ x 11 white paper,
single-spaced, and on one side of the page only. It would be helpful if
the name of the submitting institution were typed at the top of each
page for easy identification in the event the proposal becomes
disassembled while being reviewed. All proposals must contain the
following forms and narrative information to assist CSREES personnel
during the review and award processes:
A. ``Application for Funding'' (Form CSREES-661)
Each copy of each grant proposal must contain an ``Application for
Funding.'' One copy of the application, preferably the original, must
contain the pen-and-ink signature(s) of the proposing principal
investigator(s)/project director(s) and the authorized organizational
representative who possesses the necessary authority to commit the
organization's time and other relevant resources to the project. Any
proposed principal investigator or co-principal investigator whose
signature does not appear on Form CSREES-661 will not be listed on any
resulting grant award. Complete both signature blocks located at the
bottom of the ``Application for Funding'' form.
Form CSREES-661 serves as a source document for the CSREES grant
database; it is therefore important that it be completed accurately.
The following items are highlighted as having a high potential for
errors or misinterpretations:
1. Title of Project (Block 6). The title of the project must be
brief (80-character maximum), 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'' or ``research on'' should not be used.
2. Program to Which You Are Applying (Block 7). ``Special Research
Grants Program, Potato Research'' should be inserted in this block. You
may ignore the reference to a Federal Register announcement.
3. Program Area and Number (Block 8). The name of the program area,
``Potato Research,'' should be inserted in this block. You should
ignore references to the program number and the Federal Register
announcement.
4. Type of Award Request (Block 13). If the project being proposed
is a renewal of a grant that has been supported under the same program
at any time during the previous five fiscal years, it is important that
you show the latest grant number assigned to the project by CSREES.
5. Principal Investigator(s) (Block 15). The designation of
excessive numbers of co-principal investigators creates problems during
final review and award processes. Listing multiple co-principal
investigators, beyond those required for genuine collaboration, is
therefore discouraged.
6. Type of Performing Organization (Block 18). A check should be
placed in the box beside the type of organization which actually will
carry out the effort. For example, if the proposal is being submitted
by an 1862 Land-Grant institution but the work will be performed in a
department, laboratory,
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or other organizational unit of an agricultural experiment station, box
``03'' should be checked. If portions of the effort are to be performed
in several departments, check the box that applies to the individual
listed as PI/PD #1 in Block 15.a.
7. Other Possible Sponsors (Block 22). List the names or acronyms
of all other public or private sponsors including other agencies within
USDA and other programs funded by CSREES to whom 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 manager as soon as practicable. Submitting
your proposal to other potential sponsors will not prejudice its review
by CSREES; however, duplicate support for the same project will not be
provided.
B. Table of Contents
For consistency and ease of locating information, each proposal
submitted should contain a Table of Contents.
C. Objectives
Clear, concise, complete, and logically arranged statement(s) of
the specific aims of the proposed effort must be included in all
proposals. For renewal applications, a restatement of the objectives
outlined in the active grant also should be provided.
D. Progress Report
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;
3. Other pertinent information, including, when appropriate, cost
analysis and explanation of cost overruns or unexpectedly high unit
costs.
E. Procedures
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 the proposed investigations and/or experiments
in the sequence in which it is planned to carry them out;
2. Techniques to be employed, including their feasibility;
3. Kinds of results expected;
4. Means by which data will be analyzed or interpreted;
5. Pitfalls which might be encountered; and
6. Limitations to proposed procedures.
F. Justification
This section should include in-depth information on the following,
when applicable:
1. Estimates of the magnitude of the problem and its relevance to
ongoing State-Federal food and agricultural research programs;
2. Importance of starting the work during the current fiscal year,
and
3. Reasons for having the work performed by the proposing
institution.
G. Cooperation and Institutional Units Involved
Cooperative and multi-state applications are encouraged. Identify
each institutional unit contributing to the project. Identify each
state in a multiple-state proposal and designate the lead state. 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 unit of the project team, if
applicable.
H. Literature Review
A summary of pertinent publications with emphasis on their
relationship to the effort being proposed should be provided and should
include all important and recent publications from other institutions,
as well as those from the applicant institution. The citations
themselves should be accurate, complete, and written in an acceptable
journal format.
I. Current Work
Current unpublished institutional activities to date in the program
area under which the proposal is being submitted should be described.
J. 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. Any potentially hazardous materials, procedures,
situations, or activities, whether or not directly related to a
particular phase of the effort, must be explained fully, along with an
outline of precautions to be exercised. Examples include work with
toxic chemicals and experiments that may put human subjects or animals
at risk.
All items of major instrumentation available for use or assignment
to the proposed project also 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.
K. 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.
L. Personnel Support
All senior personnel who are expected to be involved in the effort
must be clearly identified. For each person, the following should be
included:
1. An estimate of the time commitment involved;
2. Vitae of the principal investigator(s), senior associate(s), 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; and
3. A chronological listing of the most representative publications
during the past five years. This listing must be provided for each
professional project member for whom a vita appears. 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.
M. Collaborative and/or Subcontractual Arrangements
If it will be necessary to enter into formal consulting or
collaborative arrangements with other individuals or organizations,
such arrangements should be fully explained and justified. In addition,
evidence should be provided that the collaborators involved have agreed
to render these services. A letter of intent from the individual or
organization will satisfy this requirement. For purposes of proposal
development, informal day-to-day contacts between key project personnel
and outside experts are not considered to be collaborative arrangements
and thus do not need to be detailed.
All anticipated subcontractual arrangements also should be
explained and justified in this section. A proposed statement of work
and a budget for each arrangement involving the transfer of substantive
programmatic work or the
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providing of financial assistance to a third party must be provided.
Agreements between departments or other units of your own institution
and minor arrangements with entities outside of your institution (e.g.,
requests for outside laboratory analyses) are excluded from this
requirement.
If you expect to enter into subcontractual arrangements, please
note that the provisions contained in 7 CFR Part 3019, as amended by 62
FR 45934, USDA Uniform Administrative Requirements for Grants and
Agreements with Institutions of Higher Education, Hospitals, and Other
Non-Profit Organizations, and the general provisions contained in 7 CFR
Part 3015.205, USDA Uniform Federal Assistance Regulations, flow down
to subrecipients. In addition, required clauses from 7 CFR Part 3019
Sections 40-48 (``Procurement Standards'') and Appendix A (``Contract
Provisions'') should be included in final contractual documents, and it
is necessary for the subawardee to make a certification relating to
debarment/suspension. This latter requirement is explained further
under subsection ``Q'' of these guidelines.
N. ``Budget'' (Form CSREES-55)
Each proposal must contain a detailed budget for up to 12 months of
support. Funds may be requested under any of the categories listed on
the budget form, provided that the item or service for which support is
sought is allowable under the enabling legislation and the applicable
Federal cost principles and can be identified as necessary and
reasonable for the successful conduct of the project.
The following guidelines should be used in developing your proposal
budget(s):
1. Salaries and Wages. Salaries and wages are allowable charges and
may be requested for personnel who will be working on the project in
proportion to the time such personnel will devote to the project. If
salary funds are requested, the number of Senior and Other Personnel
and the number of CSREES Funded Work Months must be shown in the spaces
provided. Grant funds may not be used to augment the total salary or
rate of salary of project personnel or to reimburse them for time in
addition to a regular full-time salary covering the same general period
of employment. Salary funds requested must be consistent with the
normal policies of the institution and with OMB Circular No. A-21, Cost
Principles for Educational Institutions. Administrative and Clerical
salaries are normally classified as indirect costs. (See Item 9.
below.) However, if requested under A.2.e., they must be fully
justified.
Note: In accordance with Section 1473 of the National
Agricultural Research, Extension, and Teaching Policy Act of 1977,
as amended, 7 U.S.C. 3319, tuition remission is not an allowable
cost under Section 2(c)(1)(B) projects, and no funds will be
approved for this purpose.
2. Fringe Benefits. Funds may be requested for fringe benefit costs
if the usual accounting practices of your institution provide that
institutional contributions to employee benefits (social security,
retirement, etc.) be treated as direct costs. Fringe benefit costs may
be included only for those personnel whose salaries are charged as a
direct cost to the project. See OMB Circular No. A-21, Cost Principles
for Educational Institutions, for further guidance in this area.
3. Nonexpendable Equipment. Nonexpendable equipment means tangible
nonexpendable personal property including exempt property charged
directly to the award having a useful life of more than one year and an
acquisition cost of $5,000 or more per unit. As such, items of
necessary instrumentation or other nonexpendable equipment should be
listed individually by description and estimated cost. This applies to
revised budgets as well, as the equipment item(s) and amount(s) may
change.
Note: For projects awarded under the authority of Sec.
2(c)(1)(B) of Pub. L. No. 89-106, no funds will be awarded for the
renovation or refurbishment of research spaces; the purchase or
installation of fixed equipment in such spaces; or for the planning,
repair, rehabilitation, acquisition, or construction of a building
or facility.
4. Materials and Supplies. The types of expendable materials and
supplies which are required to carry out the project should be
indicated in general terms with estimated costs.
5. Travel. The type and extent of travel and its relationship to
project objectives should be described briefly and justified. If
foreign travel is proposed, the country to be visited, the specific
purpose of the travel, a brief itinerary, inclusive dates of travel,
and estimated cost must be provided for each trip. Airfare allowances
normally will not exceed round-trip jet economy air accommodations.
U.S. flag carriers must be used when available. See 7 CFR Part
3015.205(b)(4) for further guidance.
6. Publication Costs/Page Charges. Anticipated costs of preparing
and publishing results of the research being proposed (including page
charges, necessary illustrations, and the cost of a reasonable number
of coverless reprints) may be estimated and charged against the grant.
7. Computer (ADPE) Costs. Reimbursement for the costs of using
specialized facilities (such as a university- or department-controlled
computer mainframe or data processing center) may be requested if such
services are required for completion of the work.
8. All Other Direct Costs. Anticipated direct project charges not
included in other budget categories must be itemized with estimated
costs and justified on a separate sheet of paper attached to Form
CSREES-55. This applies to revised budgets as well, as the item(s) and
dollar amount(s) may change. Examples may include space rental at
remote locations, subcontractual costs, charges for consulting
services, telephone, facsimile, e-mail, shipping costs, and fees for
necessary laboratory analyses. You are encouraged to consult the
``Instructions for Completing Form CSREES-55, Budget,'' of the
Application Kit for detailed guidance relating to this budget category.
9. 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.
10. Cost-sharing. Cost-sharing is encouraged; however, cost-sharing
is not required nor will it be a direct factor in the awarding of any
grant.
O. ``Current and Pending Support'' (Form CSREES-663)
All proposals must contain Form CSREES-663 listing this proposal
and any other current or pending support to which key project personnel
have committed or are expected to commit portions of their time,
whether or not salary support for the person(s) involved is included in
the budget. This proposal should be identified in the pending section
of this form.
P. ``Assurance Statement(s)'' (Form CSREES-662)
A number of situations encountered in the conduct of projects
require special assurance, 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, it is
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expected that some applications submitted in response to these
guidelines will include the following:
1. Recombinant DNA or RNA Research. As stated in 7 CFR Part
3015.205(b)(3), all key personnel identified in the proposal and all
signatory 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, the application must so indicate by checking the
``yes'' box in Block 19 of Form CSREES-661 (``Application for
Funding'') and by completing Section A of Form CSREES-662. For
applicable proposals recommended for funding, Institutional Biosafety
Committee approval is required before CSREES funds will be released.
2. 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 project personnel and all signatory officials of the
proposing organization are required to comply with the applicable
provisions of the Animal Welfare Act of 1996, as amended (7 U.S.C. 2131
et seq.) and the regulations promulgated thereunder by the Secretary in
9 CFR Parts 1, as amended by 62 Federal Register 43272 and 50244, 2, 3,
as amended by 62 Federal Register 43272 and 50244, and 4 pertaining to
the care, handling, and treatment of these animals. If your project
will involve these animals or activities, you must check the ``yes''
box in Block 20 of Form CSREES-661 and complete Section B of Form
CSREES-662. 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.
3. 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 established by the Department under 7 CFR Part 1c. If you
propose to use human subjects for experimental purposes in your
project, you should check the ``yes'' box in Block 21 of Form CSREES-
661 and complete Section C of Form CSREES-662. In the event a project
involving human subjects results in a grant award, funds will be
released only after the appropriate Institutional Review Board has
approved the project.
Q. Certifications
Note that by signing the Application for Funding form the applicant
is providing the required certifications set forth in 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
this application package for informational purposes only. These forms
should not be submitted with your proposal since by signing the Form
CSREES-661 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 to the grantee
organization for retention in their records. This form should not be
submitted to USDA.
R. Compliance With the National Environmental Policy Act
As outlined in 7 CFR Part 3407 (CSREES's implementing regulations
of the National Environmental Policy Act of 1969 (NEPA), as amended (42
U.S.C. 4321 et seq.)), environmental data or documentation for the
proposed project is to be provided to CSREES in order to assist CSREES
in carrying out its responsibilities under NEPA, which includes
determining whether the project requires an Environmental Assessment or
an Environmental Impact Statement or whether it can be excluded from
this requirement on the basis of several categorical exclusions. To
assist CSREES in this determination, the applicant should review the
categories defined for exclusion to ascertain whether the proposed
project may fall within one of the exclusions.
Form CSREES-1234, ``NEPA Exclusions Form'' (copy in Application
Kit), indicating the applicant's opinion of whether or not the project
falls within one or more categorical exclusions, along with supporting
documentation, must be included in the proposal. The information
submitted in association with NEPA compliance should be identified in
the Table of Contents as ``NEPA Considerations'' and Form CSREES-1234
and supporting documentation should be placed after the Form CSREES-
661, ``Application for Funding,'' in the proposal.
The following Categorical Exclusions apply:
(1) USDA Categorical Exclusions (7 CFR 1b.3)
(i) Policy development, planning and implementation which are
related to routine activities such as personnel, organizational
changes, or similar administrative functions;
(ii) Activities which deal solely with the funding of programs,
such as program budget proposals, disbursements, and transfer or
reprogramming of funds;
(iii) Inventories, research activities, and studies, such as
resource inventories and routine data collection when such actions are
clearly limited in context and intensity;
(iv) Educational and informational programs and activities;
(v) Civil and criminal law enforcement and investigative
activities;
(vi) Activities which are advisory and consultative to other
agencies and public and private entities; and
(vii) Activities related to trade representation and market
development activities abroad.
(2) CSREES Categorical Exclusions (7 CFR 3407.6(a)(2))
Based on previous experience, the following categories of CSREES
actions are excluded because they have been found to have limited scope
and intensity and to have no significant individual or cumulative
impacts on the quality of the human environment:
(i) The following categories of research programs or projects of
limited size and magnitude or with only short-term effects on the
environment:
(A) Research conducted within any laboratory, greenhouse, or other
contained facility where research practices and safeguards prevent
environmental impacts;
(B) Surveys, inventories, and similar studies that have limited
context and minimal intensity in terms of changes in the environment;
and
(C) Testing outside of the laboratory, such as in small isolated
field plots, which involves the routine use of familiar chemicals or
biological materials.
(ii) Routine renovation, rehabilitation, or revitalization of
physical facilities, including the acquisition and installation of
equipment, where such activity is limited in scope and intensity.
Even though the applicant considers that a proposed project may
fall within a categorical exclusion, CSREES may determine that an
Environmental Assessment or an Environmental Impact Statement is
necessary for a proposed project if substantial controversy on
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environmental grounds exists or if other extraordinary conditions or
circumstances are present that may cause such activity to have a
significant environmental effect.
S. Additions to Project Description
Each project description is expected to be complete in itself.
However, in those instances in which the inclusion of additional
information is necessary, the number of copies submitted should match
the number of copies of the application requested in Part V(A) below.
Each set of such materials must be identified with the title of the
project and the name(s) of the principal investigator(s)/project
director(s) as they appear on the ``Application for Funding.'' Examples
of additional materials include photographs that do not reproduce well,
reprints, and other pertinent materials which are deemed to be
unsuitable for inclusion in the body of the proposal.
Part V--Submission of a Proposal
A. What to Submit
An original and three copies of each grant proposal must be
submitted. Proposals should contain all requested information when
submitted. Each proposal should be typed on 8\1/2\ x 11 white paper,
single-spaced, and on one side of the page only. Please note that the
text of the proposal should be prepared using no type smaller than 12
point font size and one-inch margins. Staple each copy of the proposal
in the upper left-hand corner. Please do not bind copies of the
proposal.
B. Where and When To Submit
Proposals must be received on or before February 19, 1998, and
submitted to the following mailing address: Special Research Grants
Program, Potato Research; c/o Proposal Services Unit, Grants Management
Branch, Office of Extramural Programs, Cooperative State Research,
Education, and Extension Service, U.S. Department of Agriculture, STOP
2245, 1400 Independence Ave., SW., Washington, DC 20250-2245, Telephone
(202) 401-5048.
Note: Hand-delivered proposals or those delivered by overnight
express service should be brought to the following address: Special
Research Grants Program, Potato Research; c/o Proposal Services
Unit, Grants Management Branch; Office of Extramural Programs;
CSREES/USDA; Room 303, Aerospace Center; 901 D Street, SW.,
Washington, DC 20024. The telephone number is (202) 401-5048.
C. Acknowledgment of Proposals
The receipt of all proposals will be acknowledged in writing and
this acknowledgment will contain a proposal identification number. Once
your proposal has been assigned an identification number, please cite
that number in future correspondence.
Part VI--Selection Process and Evaluation Criteria
A. Selection Process
Applicants should submit fully developed proposals that meet all
the requirements set forth in this request for proposals.
Each proposal will be evaluated in a two-part process. First, each
proposal will be screened to ensure that it meets the requirements as
set forth in this request for proposals. Second, proposals that meet
these requirements will be technically evaluated by a review panel.
The individual panel members will be selected from among those
persons recognized as specialists who are uniquely qualified by
training and experience in their respective fields to render expert
advice on the merit of the proposals being reviewed. The individual
views of the panel members will be used to determine which proposals
should be recommended to the Administrator (or his designee) for final
funding decisions.
There is no commitment by USDA to fund any particular proposal or
to make a specific number of awards. Care will be taken to avoid actual
and potential conflicts of interest among reviewers. Evaluations will
be confidential to USDA staff members, peer reviewers, and the proposed
principal investigator(s), to the extent permitted by law.
B. Evaluation Criteria
1. Overall scientific and technical quality of the proposal--10
points.
2. Scientific and technical quality of the approach--10 points.
3. Relevance and importance of proposed research to solution of
specific areas of inquiry, and application of expected results for
States beyond the State in which the grantee resides and will perform
the work--30 points.
4. Feasibility of attaining objectives; adequacy of professional
training and experience, facilities and equipment; the cooperation and
involvement of multiple institutions or states--50 points.
Part VII--Supplementary Information
A. Access to Peer Review Information
After final decisions have been announced, CSREES will, upon
request, inform the principal investigator of the reasons for its
decision on a proposal.
B. Grant Awards
1. General: Within the limit of funds available for such purpose,
the awarding official of CSREES shall make grants to those responsible,
eligible applicants whose proposals are judged most meritorious in the
announced program area and procedures set forth in this request for
proposals. The date specified by the Administrator 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 practicable so that project
goals may be attained within the funded project period. All funds
granted by CSREES under this request for proposals shall be expended
solely for the purpose for which the funds are granted in accordance
with the approved application and budget, the terms and conditions of
the award, the applicable Federal cost principles, and the Department's
assistance regulations (Parts 3015, as amended by 62 FR 45947, and
3019, as amended by 62 FR 45934, of 7 CFR).
2. 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 if such information has not been provided previously under this
or another program for which the sponsoring agency, CSREES, is
responsible. Copies of forms recommended for use in fulfilling the
requirements contained in this section will be provided by CSREES as
part of the pre-award process.
3. Grant Award Document: The grant award document shall include at
a minimum the following:
a. Legal name and address of performing organization or institution
to whom the Administrator has awarded a grant under this program;
b. Title of Project;
c. Name(s) and address(es) of principal investigator(s) chosen to
direct and control approved activities;
d. Grant identification number assigned by the Department;
e. Project period, specifying the amount of time the Department
intends to support the project without requiring recompetition for
funds;
f. Total amount of Departmental financial assistance approved by
the Administrator during the project period;
g. Legal authority(ies) under which the grant is awarded;
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h. Approved budget plan for categorizing project funds to
accomplish the stated purpose of the grant award; and
i. Other information or provisions deemed necessary by CSREES to
carry out its respective granting activities or to accomplish the
purpose of a particular grant.
4. Notice of Grant Award: 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.
5. CSREES will award standard grants to carry out this program. A
standard grant is a funding mechanism whereby CSREES agrees to support
a specified level of effort for a predetermined time period without any
guarantee of additional support at a future date.
C. Use of Funds; Changes
Unless otherwise stipulated in the terms and conditions of the
grant award, the following provisions apply:
1. Delegation of Fiscal Responsibility: 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, principal
investigator(s), or other key project personnel in the approved
research project grant shall be limited to changes in methodology,
techniques, or other aspects of the project to expedite achievement of
the project's approved goals. If the grantee and/or the principal
investigator(s) are uncertain as to whether a change complies with this
provision, the question must be referred to the Authorized Departmental
Officer for a final determination.
b. Changes in approved goals, or objectives, shall be requested by
the grantee and approved in writing by the Authorized Departmental
Officer 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 awarding official of CSREES
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 Authorized Departmental Officer prior to
effecting such transfers.
e. Changes in Project Period: The project period may be extended by
CSREES without additional financial support, for such additional
period(s) as the Authorized Departmental Officer determines may be
necessary to complete or fulfill the purposes of an approved project.
Any extension of time shall be conditioned upon prior request by the
grantee and approval in writing by the Authorized Departmental Officer,
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 authorized
departmental officer 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 costs principles,
Departmental regulations, or in the grant award document.
D. Other Federal Statutes and Regulations That Apply
Several other Federal statutes and regulations apply to grant
proposals considered for review and to project grants awarded under
this program. These include but are not limited to:
7 CFR 1.1--USDA implementation of the Freedom of Information Act.
7 CFR Part 3, as amended by 62 FR 40924 and 60451--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, as amended by 62 FR 45947--USDA Uniform Federal
Assistance Regulations, implementing OMB directives (i.e., 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 New 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, as amended by 62 FR 45934--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, 62 FR 45947--USDA implementation of OMB Circular
No. A-133, Audits of States, Local Governments, and Nonprofit
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 of the 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).
E. Confidential Aspects of Proposals and Awards
When a proposal results in a grant, it becomes a part of the record
of CSREES's transactions, available to the public upon specific
request. Information that the Secretary determines to be of a
privileged nature will be held in confidence to the extent permitted by
law. Therefore, any information that the applicant wishes to have
considered as privileged should be clearly marked as such and sent in a
separate statement, two copies of which should accompany the proposal.
The original copy of a proposal that does not result in a grant will be
retained by CSREES for a period of one year. Other copies will be
destroyed. Such a proposal will be released only with the consent of
the applicant or to the extent required by law. A proposal may be
withdrawn at any time prior to the final action thereon.
F. Regulatory Information
For the reasons set forth in the final Rule-related Notice to 7 CFR
part 3015, subpart V (48 FR 29115, 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
[[Page 397]]
approved under OMB Document No. 0524-0022.
Done at Washington, D.C., this 24th day of December 1997.
Colien Hefferan,
Associate Administrator, Cooperative State Research, Education, and
Extension Service.
[FR Doc. 98-119 Filed 1-2-98; 8:45 am]
BILLING CODE 3410-22-P
