# Request for Proposals (RFP): Special Research Grants Program, Potato Research

> Briefs, arguments, decisions, and more.

URL: https://www.frixlaw.com/law-library/documents/fr%3A97-157

## Record

- **Collection:** Federal Register
- **Document type:** Notice
- **Published:** January 6, 1997
- **Citation:** 62 FR 876

## Text

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. The
Agriculture, Rural Development, Food and Drug Administration, and
Related Agencies Appropriations Act of 1997 (Public Law 104-180)
appropriated funds for special grants for agricultural research (7
U.S.C. 450i(c)). The Special Research Grants Program intends to use
$1,134,612 of this appropriation to support potato research that
focuses on varietal development/testing.
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 7, 1997.
Proposals received after February 7, 1997, 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,
Washington, D.C. 20250-2220; telephone (202) 401-4354; Internet:
[email protected].

SUPPLEMENTARY 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.
405i(c)(1)(B)).

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 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 but only one principal investigator.
(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 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 (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 and a proposal may be
considered eligible based on the eligibility requirements, there are
factors which may exclude an applicant or a proposal from receiving
Federal financial and nonfinancial assistance and benefits under this
program (e.g., debarred or suspended individual, it is determined that
an applicant is not responsible 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 1997.
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(s). 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. The total amount of funds available in
Fiscal Year 1997 for support of this program is approximately
$41,134,612. Each proposal submitted in Fiscal Year 1997 shall request
funding for a period not to exceed a period of one year. Funding for
additional years will depend upon the availability of funds and
progress toward objectives. Fiscal Year 1997 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 available for up to five years, for the
support of research projects to further the program.

[[Page 877]]

In addition, pursuant to Section 716(b) of the Agriculture, Rural
Development, Food and Drug Administration, and Related Agencies
Appropriations Act, 1997, Pub. L. No. 104-180, in the case of any
equipment or products that may be authorized to be purchased with funds
provided under this program, entities receiving such funds are
encouraged to use such funds to purchase only American-made equipment
or products.

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;
Washington DC 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 [email protected] which states that you want a copy of the application
materials for the Fiscal Year 1997 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\''x11'' 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 endorsement of 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
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, 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.

[[Page 878]]

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 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, 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
(91 Stat. 981), as amended, tuition remission is not an allowable
cost under Section 2(c)(1)(B) projects, and no funds will be
approved for this purpose.

[[Page 879]]

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 the equipment item(s) and amount(s) may change.

Note: No funds will be awarded for the purchase or installation
of fixed equipment.

In addition, pursuant to Section 716(b) of Pub. L. No. 104-180 (the
Agriculture, Rural Development, Food and Drug Administration, and
Related Agencies Appropriations Act, 1997), in the case of any
equipment or product that may be authorized to be purchased with funds
provided under this program, entities receiving such funds are
encouraged to use such funds to purchase only American-made equipment
or products.

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 the item(s) and dollar
amount(s) may change. Examples may include space rental at remote
locations, subcontractual costs, charges for consulting services, 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 (91
Stat. 981), 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 keep 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
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
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, 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 endorsing 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, 2, 3, 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

[[Page 880]]

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,
as amended by 61 FR 250, 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 (CSREE'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
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.

T. CRIS Forms AD-416 and AD-417

In order to document research projects in the Current Research
Information System's (CRIS) data base, CSREES requires the submission
of the CRIS Forms AD-416 and AD-417 prior to the release of grant
funds. One completed copy of each form must be submitted with the
original pen-and-ink copy of the proposal. Fields 1, 19, 20, 21, 28,
29, 30 and ``Duration'' should be left blank, as these will be
completed by CSREES upon award. Appropriate institutional signatures on
Form AD-416 should be obtained prior to submission to CSREES. CSREES
will not release funds for the proposed award until the completed CRIS
forms are received; therefore, prompt action on this requirement is
essential for the initiation of the project.

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\''x11'' 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 7, 1997, and
submitted to the following mailing address: Proposal Services Unit,
Grants

[[Page 881]]

Management Branch, Office of Extramural Programs, Cooperative State
Research, Education, and Extension Service, U.S. Department of
Agriculture, STOP 2245, Washington, D.C. 20250-2245, Telephone (202)
401-5048.

Note: Hand-delivered proposals or those delivered by overnight
express service should be brought to the following address: Proposal
Services Unit, Grants Management Branch; Office of Extramural
Programs; CSREES/USDA; Room 303, Aerospace Center; 901 D Street,
S.W.; Washington, D.C. 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. Revelance and importance of proposed research to solution of
specific areas of inquiry--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, 3018, and 3019 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 the
sponsoring agency as part of the pre-award process.
3. Grant Award Document and Notice of Grant Award: 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;
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

[[Page 882]]

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.

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--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., 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, as amended by 61 FR 250--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--USDA implementation of OMB Circular A-110, Uniform
Administrative Requirements for Grants and Agreements With Institutions
of Higher Education, Hospitals, and Other Nonprofit Organizations.
7 CFR Part 3051--USDA implementation of OMB Circular No. A-133,
Audits of Institutions of Higher Education and Other Nonprofit
Institutions.
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).

E. Confidential Aspects of Proposals and Awards

When a proposal results in a grant, it becomes a part of the record
of the Agency'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 the Agency 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
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 1980 (44 U.S.C.
3504(h)), the collection of information requirements contained in this
Notice have been approved under OMB Document No. 0524-0022.

Done at Washington, D.C., this 30th day of December 1996.
Colien Hefferan,
Associate Administrator, Cooperative State Research, Education, and
Extension Service.
[FR Doc. 97-157 Filed 1-3-97; 8:45 am]
BILLING CODE 3410-22-M

---

Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3A97-157. Public record. Not legal advice.