[Federal Register Volume 64, Number 22 (Wednesday, February 3, 1999)]
[Notices]
[Pages 5562-5568]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-2538]



[[Page 5561]]

_______________________________________________________________________

Part V

Department of Agriculture
Cooperative State Research, Education, and Extension Service

National Science Foundation

Department of Energy
Office of the Secretary
_______________________________________________________________________



Rice Genome Sequencing Project; Interagency Program Announcement; 
Request for Proposals and Request for Input; Notice

  Federal Register / Vol. 64, No. 22 / Wednesday, February 3, 1999 / 
Notices  

[[Page 5562]]



DEPARTMENT OF AGRICULTURE

Cooperative State Research, Education, and Extension Service

NATIONAL SCIENCE FOUNDATION

DEPARTMENT OF ENERGY

Office of the Secretary


The United States Rice Genome Sequencing Project; Interagency 
Program Announcement; Request for Proposals and Request for Input

AGENCIES: U.S. Department of Agriculture, National Science Foundation 
and U.S. Department of Energy.

ACTION: Notice of request for proposals and request for input.

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SUMMARY: As a collaborative, interagency effort, the Cooperative State 
Research, Education, and Extension Service (CSREES) of the Department 
of Agriculture, the National Science Foundation, and the Department of 
Energy are soliciting proposals for the United States Rice Genome 
Sequencing Projects. Proposals are hereby requested from eligible 
institutions as identified herein for competitive consideration of 
awards. By this notice, the CSREES additionally solicits stakeholder 
input from any interested party regarding the FY 1999 request for 
proposals for use in the development of the next request for proposals 
for The United States Rice Genome Sequencing Project.

DATES: Proposals are due May 4, 1999. Comments regarding this request 
for proposals are requested within six months from the issuance of this 
notice. Comments received after that date will be considered to the 
extent practicable.

FOR FURTHER INFORMATION CONTACT:
    Dr. Ed Kaleikau; Plant Genome Program; NRI Competitive Grants 
Program; Cooperative State Research, Education, and Extension Service; 
U.S. Department of Agriculture; STOP 2241; 1400 Independence Avenue, 
S.W.; Washington, D.C. 20250-2241; Telephone: 202-401-1901; Fax: 202-
401-6488; E-mail: [email protected]; or Dr. David Meinke; Plant 
Genome Research Program; Division of Biological Infrastructure; 
National Science Foundation; 4201 Wilson Blvd; Arlington, VA 22230; 
Telephone: 703-306-1470; Fax: 703-306-0339; E-mail: [email protected]; or 
Gregory L. Dilworth; Division of Energy Biosciences, ER-17; U.S. 
Department of Energy; 19901 Germantown Road; Germantown, MD 20874; 
Telephone: 301-903-2873; Fax: 301-903-1003; E-mail: 
G[email protected].
    Written comments should be submitted by first-class mail to: Office 
of Extramural Programs; Competitive Research Grants and Awards 
Management; USDA-CSREES; STOP 2299; 1400 Independence Avenue, S.W.; 
Washington, D.C. 20250-2299, or via e-mail to: [email protected]. In 
your comments, please include the name of the program and the fiscal 
year request for proposals to which you are responding.

SUPPLEMENTARY INFORMATION:

Table of Contents

Purpose
Background
Introduction
Authority
Applicant Eligibility
Principal Investigator and Other Senior Staff
Award Information and Available Funding
How to Obtain Application Materials
Proposal Format
Proposal Submission
    What to Submit
    When and Where to Submit Proposals
Proposal Evaluation
Award Administration
    Awards
    Use of Funds; Changes
Applicable Regulations
Additional Information
    Confidential Aspects of Proposals and Awards
    Stakeholder Input

Purpose

    The purpose of this interagency program announcement is to solicit 
proposals to initiate systematic sequencing of the genome of rice in 
the United States as part of an international effort that includes the 
Rice Genome Program of Japan. The ultimate goal of this project is to 
sequence the entire rice genome as a model monocot (grass) species. The 
target date for completion is before the year 2008. Initially, it is 
anticipated that up to three 3-year awards will be made through this 
program in fiscal year (FY) 1999 contingent upon the quality of 
proposals received and the availability of funds.

Background

    The National Science and Technology Council (NSTC), in response to 
a request of Congress, established an Interagency Working Group on 
Plant Genomes (IWGPG) in May 1997. The IWGPG consisted of 
representatives from the Department of Agriculture (USDA), National 
Science Foundation (NSF), Department of Energy (DOE), National 
Institutes of Health (NIH), the Office of Science and Technology Policy 
(OSTP) and the Office of Management and Budget (OMB). The IWGPG was 
created to identify science-based priorities for a national plant 
genome initiative and to plan for a collaborative interagency approach 
to address these priorities. In January 1998, the IWGPG provided a 
report describing a five-year plan and rationale for a National Plant 
Genome Initiative. One of the Initiative's goals is to participate in 
an international effort to sequence the rice genome in collaboration 
with the Rice Genome Program of Japan, other countries and the private 
sector where appropriate. It is expected that through these efforts the 
resulting information, data, software, germplasm, and other research 
tools and biological materials can be made readily and openly available 
to the scientific community at large.
    Grasses are one of the most diverse groups of plants and include 
the world's major food crops such as rice, corn, wheat, rye, barley, 
sorghum, sugarcane, and millet. While the genome size among grass 
species varies greatly, they share common sets of genes. There has been 
a strong interest among many plant biologists to sequence the rice 
genome, as a representative monocot to complement and extend advances 
made with the Arabidopsis thaliana (dicot) genome project. The rapid 
advances in sequencing technologies have now made it a feasible 
undertaking given the relatively small size of the rice genome 
( 430 million base pairs).
    Scientists interested in the genome sequencing of rice participated 
in a workshop held in September 1997. An ad hoc international working 
group, nominated in Singapore, met in February 1998 in Tsukuba, Japan 
to develop a long-range plan for the International Rice Genome 
Sequencing Project. A follow up Workshop on Rice Genome Sequencing was 
held, with the support of USDA, NSF, and DOE, in Washington, D.C., 
April 1998, to address the U.S. response to this initiative. This 
program announcement is an outcome of that workshop.

Introduction

    Recognizing the potential of a rice genome sequencing effort to 
contribute to their mission, NSF and DOE have joined with USDA to 
initiate a U.S. Rice Genome Sequencing Project. This project will be 
coordinated with other ongoing U.S. genome projects including the human 
genome research project supported by NIH and DOE, the microbial genome 
project supported by DOE, the NSF Plant Genome Research Program, and 
the USDA Plant Genome Program in order to minimize duplication of 
effort and to maximize efficient use of available resources. It is 
intended that the U.S. efforts to

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complete the sequence of rice will be coordinated on an international 
level with other national and transnational programs.
    As a member of the Gramineae and a crop plant, a wealth of 
fundamental information about important aspects of plant biology, 
including economically important characteristics, can be learned from 
the genome sequence of rice. Because it shares collinear genomes, rice 
is a key to knowledge of the genome organization of the other grasses. 
Comparison of the sequence of the dicot, Arabidopsis thaliana, with 
that of rice, a model monocot, will reveal what genome structures these 
two different groups of angiosperms have in common and how they differ.
    While the goals of the International Rice Genome Project must be 
focused, the information provided by the International Project can be 
exploited by the entire research community to learn: the functions and 
relative map locations of all cereal genes; the use of map-based 
sequence information to identify and provide markers for agronomically 
significant genes; the molecular basis of plant growth and development 
so that fundamental questions in plant p hysiology, biochemistry, cell 
biology, and pathology can be addressed and; the relationship of genome 
structure to gene expression.

Authority

    The authority for the USDA participation in this program is found 
in 7 U.S.C. 450i(b). The authority for NSF participation in this 
program is found in the National Science Foundation Act of 1950, as 
amended, 42 U.S.C. 1861, et seq. The authority for DOE participation in 
this program is found in the Atomic Energy Act of 1954, as amended, 
Sec. 31, Pub. L. 83-703, 68 Stat. 919, (42 U.S.C. 2051); Energy 
Reorganization Act of 1974, Title I, Sec. 107, Pub. L. 93-438, 88 Stat. 
1240, (42 U.S.C. 5817); Federal Nonnuclear Energy Research and 
Development Act of 1974, Pub. L. 93-577; Department of Energy 
Organization Act of 1977, as amended, Pub. L. 95-91, (U.S.C. 7101).

Applicant Eligibility

    Proposals are solicited from a broad community of scientists at 
U.S. institutions, including any State agricultural experiment station, 
college, university, other research institution or organization, 
Federal agency, national laboratory, private organization, corporation, 
or individual. Consortia of eligible individuals or organizations may 
apply, but a single organization or individual must accept overall 
management responsibility. Involvement of international collaborators 
is encouraged, although primary support for foreign participants/
activities must be secured through their own national programs.

Principal Investigator and Other Senior Staff

    The Principal Investigator (PI) and other senior staff responsible 
for the project are expected to have expertise and experience in large-
scale, high-through-put genomic DNA sequencing. If the application is 
submitted by a consortium of several groups from one or more 
institutions, the consortium must make a convincing case that it can 
function in an effective, efficient, timely and cost-conscious manner.

Award Information and Available Funding

    The participating agencies currently have a total of approximately 
$4 million available for this Program in FY 1999. Subject to the 
availability of funds, the participating agencies anticipate that an 
additional $4 million in funding will be available for this program in 
each FY 2000 and FY 2001, for an anticipated total level of support for 
this Program of $12 million over three years. The program anticipates 
initially supporting up to three 3-year awards. These awards will be 
made in the form of grants and cooperative agreements which will be 
determined at the time of the award. The exact amount of the award will 
depend on the advice of reviewers and on the availability of funds. 
Each participating agency will obligate funds separately. However, a 
proposal may be funded by one or more of the participating agencies.

How To Obtain Application Materials

    All participating agencies have agreed to use the USDA guidelines 
for proposal format (see below) and application kit. Other material may 
be required at the time of funding to facilitate the implementation of 
the award. The guidelines and application kit are available on the USDA 
web site at the URL: http://www.reeusda.gov/crgam/nri/howto/applkit/
applkitdoc.htm.
    Paper copies of these application materials may be obtained by 
sending an e-mail with your name, complete mailing address (not e-mail 
address), phone number, and materials that you are requesting to 
[email protected]. Materials will be mailed to you (not e-mailed) as 
quickly as possible. Alternatively, paper copies may be obtained by 
writing or calling the Proposal Services Unit, 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.

Proposal Format

    The proposals should be prepared following the guidelines and the 
instructions below.
    Each proposal must contain the following elements in the order 
indicated:
    1. Application For Funding Cover Page (Form CSREES-661). All 
proposals must contain an Application for Funding (Form CSREES-661), 
which must be signed by the proposed principal investigator(s) and by 
the cognizant Authorized Organizational Representative who possesses 
the necessary authority to commit the applicant's time and other 
relevant resources. Principal investigators who do not sign the 
proposal cover sheet will not be listed on the award document in the 
event an award is made. The title of the proposal must be brief (80-
character maximum), yet represent the major emphasis of the project. 
Because this title will be used to provide information to those who may 
not be familiar with the proposed project, highly technical words or 
phraseology should be avoided where possible. In addition, phrases such 
as ``investigation of'' or ``research on'' should not be used.
    2. Table of Contents. For ease in locating information, each 
proposal must contain a detailed table of contents just after the 
proposal cover page. The Table of Contents should include page numbers 
for each component of the proposal. Pagination should begin immediately 
following the Project Summary (see next section).
    3. Project Summary (Form CSREES-1232). The proposal must contain a 
Project Summary form (Form CSREES-1232). This form must be assembled as 
the third page of the proposal (immediately after the Table of 
Contents) and should not be numbered. The names and institutions of all 
principal and co-investigators should be listed on this form (if space 
is insufficient, please enter ``see attached'' in this space and 
provide this information on a separate sheet immediately following the 
Project Summary form in the proposal). The project summary itself MUST 
fit within the space indicated (approximately 250 words). The summary 
is not intended for the general reader; consequently, it may contain 
technical language comprehendible by persons in disciplines relating to 
the food and agricultural sciences. The project summary should be a 
self-contained,

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specific description of the activity to be undertaken and should focus 
on: Overall project goal(s) and supporting objectives; plans to 
accomplish project goal(s); and relevance of the project to the 
systematic sequencing of the genome of rice in the United States.
    4. Project Description. A description of the project must not 
exceed 20 pages inclusive of tables, diagrams and other visual 
material. The project description should be numbered and single-spaced 
with text on one side of the page using a 12 point (10 cpi) type font 
size and one-inch margins. The following points must be addressed in 
this section.
    A. Sequencing Strategies--The proposal should include descriptions 
of: 1. DNA substrates to be sequenced: Include source of the DNA 
(clones), map of the chromosomal region involved, rationale for 
choosing the region, method of substrate preparation and all other 
pertinent information. The strategies proposed must be scalable and 
applicable to efforts to sequence the entire rice genome.
    2. Sequence quality and quantity: This section should include the 
level of accuracy to be sought and how that will be measured, the 
number of bases to be sequenced per unit time, and a discussion of the 
finishing process and how that will be defined. Plans to fill sequence 
gaps and coordinate sequencing efforts within the rice community must 
be discussed in detail.
    3. Genome sequencing technologies and strategies: Technologies/
strategies that will be used should be described as well as plans for 
incorporating new developments and/or improvements in sequencing 
protocols, strategies and technologies as they become available.
    4. Costs of production sequencing in relation to the product 
proposed: The cost-effectiveness of the sequences generated will be a 
very important issue. An estimate of the dollars required to produce a 
specific number of bases (which should include the costs of generating 
clones, assembly and annotation) should be given. If investigators are 
proposing a strategy that will yield less than the complete genome 
sequence, they must provide an overall vision of how this strategy will 
contribute to the cost-effective completion of the entire rice genome.
    B. Project Management--The proposal should include descriptions of: 
1. Plans for establishing coordination with the Rice Genome Program of 
Japan and other existing or planned rice sequencing projects, both 
nationally and internationally.
    2. Plans for establishing a close linkage to the plant biology 
research community at large in order to ensure a close collaboration 
between the sequencing project and the ultimate user community of the 
sequence information.
    3. Ways to assess progress of the project, including establishing 
milestones and measuring progress toward them. A common advisory 
committee will be appointed based upon suggestions from all of the 
participants, including the agencies, which will serve as a means of 
advising all participants of problems or solutions which will benefit 
all of the participants. Describe how such an advisory committee can be 
incorporated into the management strategies of the proposed project.
    4. Available facilities and equipment including a statement of 
institutional commitment for the successful completion of the project.
    C. Information Management--The proposal should include: 1. Data 
management plan should address both internal and external data 
management issues, including: (1) Mechanisms to assess validity and 
accuracy of data obtained which will augment or complement procedures 
to monitor accuracy which may be mandated by the agencies; (2) 
mechanisms for annotation of data and release of both raw and finished 
data into public databases--creative, cost-effective strategies for 
annotating sequences are encouraged; and (3) community access to data 
mechanisms of data distribution and interactions with other community 
databases.
    2. Data release policies including how rapidly sequence data will 
be publicly released after production. The sponsoring agencies require 
the rapid release of sequence data as described in the most recent 
International Strategy Meeting on Human Genome Sequencing held in 1997 
in Bermuda. The National Human Genome Research Institute has set forth 
these principles on the NIH web site at the following URL: http://
www.nhgri.nih.gov/Grant__info/Funding/Statements/RFA/data__release.html
    3. A statement signed by an authorized institutional official 
should be included which clearly describes the institutional policy for 
sharing information materials resulting from this work with other 
researchers of the community of scientists.
    5. References to Project Description. All references cited should 
be complete, including titles and co-authors, and should conform to an 
accepted journal format.
    6. Facilities and Equipment. All facilities and major items of 
equipment that are available for use or assignment to the proposed 
research project during the requested period of support should be 
described. In addition, items of nonexpendable equipment necessary to 
conduct and successfully complete the proposed project and for which 
support is requested under this program should be listed in the budget 
narrative with the amount and justification for each item.
    7. Collaborative Arrangements. If the nature of the proposed 
project requires collaboration or subcontractual arrangements with 
other research scientists, corporations, organizations, agencies, or 
entities, the applicant must identify the collaborator(s) and provide a 
full explanation of the nature of the collaboration. Funding 
contributions by collaborators that will be used to accomplish the 
stated objectives should be identified. Evidence (i.e., letters of 
intent) should be provided to assure peer reviewers that the 
collaborators involved have agreed to render this service. Note, 
however, that the contributions of collaborators will not be a direct 
factor in the awarding of any award. In addition, the proposal must 
indicate whether or not such a collaborative arrangement(s) has the 
potential for conflict(s) of interest.
    8. Vitae and Publication List(s). (A) Curriculum vitae. The 
curriculum vitae should be limited to a presentation of academic and 
research credentials, or commodity production knowledge or experience 
with that commodity (e.g., educational, employment and professional 
history, and honors and awards). Unless pertinent to the project, to 
personal status, or to the status of the organization, meetings 
attended, seminars given, or personal data such as birth date, marital 
status, or community activities should not be included. Each vitae 
shall be no more than two pages in length, excluding the publication 
lists; and
    (B) Publication List(s). A chronological list of all publications 
in refereed journals during the past four years, including those in 
press, must be provided for each professional project member for whom a 
curriculum vitae is provided. Authors should be listed in the same 
order as they appear on each paper cited, along with the title and 
complete reference as these items usually appear in journals.
    9. Conflict of Interest List (Form CSREES-1233). A separate 
Conflict of Interest List Form (Form CSREES-1233) must be submitted for 
each investigator for whom a curriculum vitae is required (see above). 
This form is necessary to assist program staff in excluding from 
proposal review those individuals who have conflicts of interest with 
the project personnel in the proposal.

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CSREES must be informed of additional conflicts of interest that arise 
after the proposal has been submitted. Instructions below are 
reiterated on Form CSREES-1233.
    For each investigator (and other personnel as described in the 
program description), list ALPHABETICALLY the full names of only the 
individuals for each category. Other investigators working in the 
applicant's specific research area are deemed not to be a conflict of 
interest for the applicant unless those investigators fall within one 
of the categories listed below. Additional pages may be used as 
necessary. A conflict of interest list must be submitted before a 
proposal is considered complete. Inclusion of a curriculum vitae or 
publication list in lieu of Form CSREES-1233 is not sufficient.
     All collaborators on research projects within the past 
four years, including current and planned collaborations;
     All co-authors on publications within the past four years, 
including pending publications and submissions;
     All persons in your field with whom you have had a 
consulting, financial arrangement, or other arrangement that might give 
rise to a conflict of interest within the past four years; and
     All thesis or postdoctoral advisees/advisors within the 
past four years.
    10. Budget (Form CSREES-55). A detailed budget is required for each 
year of requested support. In addition, a summary budget is required 
detailing requested support for the overall project period. A copy of 
the form which must be used for this purpose (Form CSREES-55), along 
with instructions for completion, is included in the Application Kit 
and may be reproduced as needed by applicants. Funds may be requested 
under any of the categories listed, provided that the item or service 
for which support is requested may be identified as necessary for 
successful conduct of the proposed project, is allowable under 
applicable Federal cost principles, and is not prohibited under any 
applicable Federal statute.
    11. Budget Narrative. A budget narrative should be included which 
discusses how the budget specifically supports the proposed project 
activities. It should explain how each budget item (such as salaries 
and wages for professional and technical staff, student workers, 
travel, equipment, etc.) is essential to achieving project objectives. 
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.
    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 Funded Work Months must be shown in the spaces 
provided. Award 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. 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.
    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.
    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. 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: If 
the organization has established a lower threshold, amounts less than 
$5,000 may be included in this category.
    No funds will be awarded for the purchase or installation of fixed 
equipment. 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.
    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. Provide 
the purpose of the trip, destination, mode of transportation, number of 
people, number of days, and cost per trip. Airfare allowances normally 
should 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 award.
    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. When submitting a proposal, institutions should 
use their current Federal negotiated rate for indirect costs. Please 
note that indirect costs for proposals funded by USDA will be capped at 
14% of total Federal funds provided under that award. Congress, in 
section 711 of the Agriculture, Rural Development, Food and Drug 
Administration, and Related Agencies Appropriations Act for FY 1999, 
Sec. 101(a) of Pub. L. No. 105-277, prohibits CSREES from using the 
funds available for this Program for FY 1999 to pay indirect costs 
exceeding 14 percent of the total Federal funds provided under each 
award on competitively awarded research grants.

    (Note: The FY 1999 Appropriations Act supercedes the limitation 
on indirect costs of 19 percent of the total Federal funds provided 
for competitively-awarded research grants in Section 230(a) of the 
Agricultural Research, Extension, and Education Reform

[[Page 5566]]

Act of 1998 (7 U.S.C. 3310). Therefore, awards made by CSREES are 
limited to this 14 percent indirect costs limitation. This 
limitation also applies to the recovery of indirect costs by any 
subawardee or subcontractor, and should be reflected in the 
subrecipient budget.)

    To accommodate the differences in allowable indirect costs between 
USDA, NSF and DOE, the applicant may be required at the time of award 
to submit a separate budget with indirect cost rates appropriate to 
each agency.
    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 
award.
    12. Current and Pending Support (Form CSREES-663). All proposals 
must contain Form CSREES-663 listing this proposal and any other 
current public or private research support (including in-house support) 
to which key personnel identified in the proposal have committed 
portions of their time, whether or not salary support for the person(s) 
involved is included in the budget. Analogous information must be 
provided for any pending proposals that are being considered by, or 
that will be submitted in the near future to other possible sponsors, 
including other USDA programs or agencies. Concurrent submission of 
identical or similar proposals to other possible sponsors will not 
prejudice proposal review or evaluation by the participating agency for 
this purpose. However, a proposal that duplicates or overlaps 
substantially with a proposal already reviewed and funded (or that will 
be funded) by another organization or agency will not be funded under 
this program.
    13. Assurance Statements (Form CSREES-662) (Research Involving 
Special Considerations). If it is anticipated that the research project 
will involve recombinant DNA or RNA research, experimental vertebrate 
animals, or human subjects, an Assurance Statement, Form CSREES-662, 
must be completed and included in the proposal. Please note that funds 
will not be released until the awarding agency receives and approves 
documentation indicating approval by the appropriate institutional 
committee(s) regarding DNA or RNA research, animal care, or the 
protection of human subjects, as applicable.
    14. Certifications Regarding Debarment and Suspension, Drug-Free 
Work Place, and Lobbying. By signing the Application For Funding cover 
page (Form CSREES-661), applicants are providing the required 
certifications set forth in 7 CFR Part 3017, as amended, regarding 
Debarment and Suspension and Drug-Free Workplace; and 7 CFR Part 3018 
regarding Lobbying. Submission of the individual forms found in the 
application kit is not required (Forms AD-1047, -1049, -1050, and the 
Certification Regarding Lobbying). For additional information, refer to 
the certification at the bottom of Form CSREES-661.
    Form AD-1048 must be completed by a subcontractor or consultant and 
retained by the awardee.
    Questions specifically related to the completion of the above 
certifications should be directed to the CSREES Office of Extramural 
Programs, Grants Management Branch at (202) 401-5050.
    15. National Environmental Policy Act Exclusions Form (Form CSREES-
1234). As outlined in 7 CFR Part 3407 (CSREES's implementation of the 
National Environmental Policy Act of 1969 (NEPA), as amended (42 U.S.C. 
4321 et seq.)), the environmental data or documentation for any 
proposed project is to be provided to CSREES in order to assist CSREES 
in carrying out its responsibilities under NEPA. In some cases, 
however, the preparation of environmental data or documentation may not 
be required. Certain categories of actions are excluded from the 
requirements of NEPA. The USDA and CSREES exclusions are listed in 7 
CFR 1b.3 and 7 CFR 3407.6, respectively.
    In order for CSREES to determine whether any further action is 
needed with respect to NEPA (e.g., preparation of an environmental 
assessment (EA) or environmental impact statement (EIS)), pertinent 
information regarding the possible environmental impacts of a proposed 
project is necessary; therefore, the National Environmental Policy Act 
Exclusions Form (Form CSREES-1234) provided in the Application Kit must 
be included in the proposal indicating whether the applicant is of the 
opinion that the project falls within one or more of the categorical 
exclusions. Form CSREES-1234 should follow Form CSREES-661, Application 
for Funding, in the proposal.
    Even though a project may fall within the categorical exclusions, 
CSREES may determine that an EA or an EIS is necessary for an activity 
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.
    16. Additions to Project Description. The participating agencies 
expect each project description to be complete while meeting the page 
limit established in this section (Proposal Format). However, if the 
inclusion of additional information is necessary to ensure the 
equitable evaluation of the proposal (e.g., photographs that do not 
reproduce well, reprints, and other pertinent materials that are deemed 
to be unsuitable for inclusion in the text of the proposal), then 14 
copies of the materials should be submitted. Each set of such materials 
must be identified with the name of the submitting organization, and 
the name(s) of the principal investigator(s). Information may not be 
appended to a proposal to circumvent page limitations prescribed for 
the project description. Extraneous materials will not be used during 
the peer review process.

Proposal Submission

What To Submit

    An original and 14 copies of a proposal must be submitted. Each 
copy must be stapled securely in the upper left-hand corner (DO NOT 
BIND). All copies of the proposal must be submitted in one package.

When and Where To Submit Proposals

    Proposals must be received by May 4, 1999. Proposals sent by First 
Class mail must be sent to the following address: The United States 
Rice Genome Sequencing Project; c/o Proposal Services Unit; Office of 
Extramural Programs; Cooperative State Research, Education, and 
Extension Service; U.S. Department of Agriculture; STOP 2245; 1400 
Independence Avenue, S.W.; Washington, D.C. 20250-2245; Telephone: 
(202) 401-5048.
    Proposals that are delivered by express mail, a courier service, or 
by hand must be submitted to the following address (note that the zip 
code differs from that shown above): The United States Rice Genome 
Sequencing Project; c/o Proposal Services Unit; Office of Extramural 
Programs; Cooperative State Research, Education, and Extension Service; 
U.S. Department of Agriculture; Room 303, Aerospace Center; 901 D 
Street, S.W.; Washington, D.C. 20024; Telephone: (202) 401-5048. 
Facsimile (FAX) copies will not be accepted.

Proposal Evaluation

    Selection of awards will be based on merit review by experts using 
established peer review systems as described in these guidelines. A 
special emphasis panel will be formed to review the applications and 
site visits may be used as needed. The following evaluation factors 
will be used in reviewing applications:
    1. Performance competence: This criterion addresses the technical 
merit of the proposed approach, the capabilities of the proposed 
personnel, including those of the Principal

[[Page 5567]]

Investigator and other senior staff as discussed above, the adequacy of 
the resources available or proposed, and the likelihood that this 
project will lead to a successful, timely, cost-effective completion of 
the rice genome sequence.
    2. Project management: This criterion addresses the overall quality 
of the technical and managerial aspects of the proposal, including 
plans for the release of the data and the sharing of the information 
and resources resulting from the project to the scientific community as 
noted below, and for management oversight and long-range planning.
    3. Effect of the activity on the scientific and agricultural 
infrastructure: This criterion addresses the potential of the proposed 
activity to contribute to better understanding or improvement of the 
quality and effectiveness of the Nation's scientific research, 
education, and human resources capabilities. An important issue is a 
likelihood of national impact and widespread, appropriate dissemination 
and use of results in strengthening the scientific and agricultural 
infrastructure of this nation.
    4. Scientific collaboration and information sharing: Sequencing of 
the genome of a model organism is a community activity. As such, a 
close collaboration among the scientists and organizations involved in 
sequencing activities and effective dissemination to the users of the 
information are important components of this criterion.
    5. Scientific merit of the project: This criterion addresses the 
conceptual adequacy of the sequencing approach including suitability 
and feasibility of methodology, clarity and delineation of objectives, 
demonstration of feasibility through preliminary data, novelty, 
uniqueness and originality.
    6. Appropriateness of the proposed budget.

Award Administration

    The U.S. Rice Genome Sequencing Project will be administered and 
managed as an interagency program involving all participating agencies 
throughout the entire process from the development of the program 
announcement to the review and selection. USDA, NSF and DOE will fund 
awards separately. The amount of each award will be determined jointly 
by USDA/NSF/DOE representatives after the panel review process has been 
completed. Other material may be required at the time of funding to 
facilitate the implementation of the award from participating agencies. 
Awards will be administered as follows:

Awards

    1. General: Within the limit of funds available for such purpose, 
the awarding official shall make awards to those responsible, eligible 
applicants whose proposals are judged most meritorious in the announced 
program area by procedures set forth in this request for proposals. The 
date specified as the effective date of the award 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 award effective date, but as soon 
thereafter as practicable so that project goals may be attained within 
the funded project period. All funds awarded under this request for 
proposals shall be expended solely for the purpose for which the funds 
are awarded in accordance with the approved application and budget, the 
terms and conditions of the award, the applicable Federal cost 
principles, and the applicable participating agency assistance 
regulations.
    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 
an award if such information has not been provided previously under 
this or another program for which the sponsoring agency is responsible. 
Copies of forms recommended for use in fulfilling the requirements 
contained in this section will be provided by the awarding agency as 
part of the pre-award process.
    3. Award Document: The award document shall include at a minimum 
the following:
    a. Legal name and address of performing organization or institution 
to whom the funding agency has awarded an award 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. Award identification number assigned by the funding agency;
    e. Project period, specifying the amount of time the funding agency 
intends to support the project without requiring recompetition for 
funds;
    f. Total award amount approved by the funding agency during the 
project period;
    g. Legal authority(ies) under which the award is made;
    h. Approved budget plan for categorizing project funds to 
accomplish the stated purpose of the award; and
    i. Other information or provisions deemed necessary by the funding 
agency to carry out its respective awarding activities or to accomplish 
the purpose of a particular award.
    4. Notice of Award: The notice of award, in the form of a letter, 
will be prepared and will provide pertinent instructions or information 
to the awardee that is not included in the award document.
    5. The awarding agency will make awards as either grants or 
cooperative agreements to carry out this program.

Use of Funds; Changes

    Unless otherwise stipulated in the terms and conditions of the 
award, the following provisions apply:
    1. Delegation of Fiscal Responsibility: The awardee may not in 
whole or in part delegate or transfer to another person, institution, 
or organization the responsibility for use or expenditure of funds.
    2. Changes in Project Plans:
    a. The permissible changes by the awardee, principal 
investigator(s), or other key project personnel in the approved 
research project award 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 awardee 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 (ADO) for a final determination.
    b. Changes in approved goals, or objectives, shall be requested by 
the awardee and approved in writing by the ADO prior to effecting such 
changes. In no event shall requests for such changes be approved which 
are outside the scope of the original approved project.
    c. Changes in approved project leadership or the replacement or 
reassignment of other key project personnel shall be requested by the 
awardee and approved in writing by the awarding official 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 awardee 
and approved in writing by the ADO prior to effecting such transfers.
    e. Changes in Project Period: The project period may be extended by 
the awarding agency without additional financial support, for such 
additional period(s) as the ADO determines may be necessary to complete 
or fulfill the purposes of an approved project. Any

[[Page 5568]]

extension of time shall be conditioned upon prior request by the 
awardee and approval in writing by the ADO, unless prescribed otherwise 
in the terms and conditions of an award.
    f. Changes in Approved Budget: Changes in an approved budget must 
be requested by the awardee and approved in writing by the ADO prior to 
instituting such changes if the revision will involve transfers or 
expenditures of amounts requiring prior approval as set forth in the 
applicable Federal costs principles, Departmental regulations, or in 
the award document.

Applicable Regulations

    Several other Federal statutes and regulations apply to proposals 
considered for review and to projects awarded under this program. These 
include but are not limited to regulations cited in the section 
entitled REGULATIONS, GUIDELINES, AND LITERATURE in the Catalog of 
Federal Domestic Assistance (CFDA) for each of the participating 
agencies. The CFDA numbers are as follows: USDA--10.206; NSF--47.074; 
DOE--81.049. The OMB number for NSF is OMB No. 3145-0058. The USDA 
component of this program is subject to the program regulations at 7 
CFR 3411. Note that CSREES, consistent with those regulations, has 
provided other terms in this RFP to govern proposal format and 
evaluation.

Additional Information

Confidential Aspects of Proposals and Awards

    When a proposal results in an award, it becomes a part of the 
record of the Agency's transactions, available to the public upon 
specific request. Information that the Administrator 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 an 
award will be retained by the Agency for a period of one year. Other 
copies will be destroyed. Proposals that do not receive an award will 
be released to others only with the consent of the applicant or to the 
extent required by law. If such a request is made, the applicant will 
be consulted prior to release of the proposal. A proposal may be 
withdrawn at any time prior to the final selection action thereon.
    Potential applicants are strongly encouraged to contact project 
officers and discuss their plans. Inquiries regarding the announcement 
can be directed to any one of the agency representatives identified at 
the beginning of this request for proposals.

Stakeholder Input

    CSREES is soliciting comments regarding this request for proposals 
from any interested party. These comments will be considered in the 
development of the next request for proposals for the program as 
needed. Such comments will be forwarded to the Secretary or his 
designee for use in meeting the requirements of section 103(c)(2) of 
the Agricultural Research, Extension, and Education Reform Act of 1998 
(Pub. L. 105-185). This section requires the Secretary of Agriculture 
to solicit and consider input on a current request for proposals from 
persons who conduct or use agricultural research, education, or 
extension for use in formulating the next request for proposals for an 
agricultural research program funded on a competitive basis.
    In your comments, please include the name of the program and the 
fiscal year request for proposals to which you are responding. Comments 
are requested within six months from the issuance of the request for 
proposals. Comments received after that date will be considered to the 
extent practicable.

    Done at Washington, D.C., on this 27th day of January, 1999.
Colien Hefferan,
Acting Administrator, Cooperative State Research, Education, and 
Extension Service.
Mary E. Clutter,
Assistant Director for Biological Sciences, National Science 
Foundation.
Patricia Dehmer,
Associate Director, Office of Sciences, Department of Energy.
[FR Doc. 99-2538 Filed 2-2-99; 8:45 am]
BILLING CODE 3410-22-P