[Federal Register Volume 65, Number 193 (Wednesday, October 4, 2000)]
[Notices]
[Pages 59260-59267]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-25365]



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Part II





Department of Agriculture





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Cooperative State Research, Education, and Extension Service



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

  Federal Register / Vol. 65, No. 193 / Wednesday, October 4, 2000 / 
Notices  

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DEPARTMENT OF AGRICULTURE

Cooperative State Research, Education, and Extension Service


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

AGENCY: Cooperative State Research, Education, and Extension Service, 
USDA.

ACTION: Notice of Request for Proposals and Request for Input.

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SUMMARY: The Cooperative State Research, Education, and Extension 
Service (CSREES) announces the availability of grant funds and requests 
proposals for the Special Research Grants Program, Potato Research for 
fiscal year (FY) 2001. Subject to the availability of funds, the amount 
available for support of this program in FY 2001 is anticipated to be 
between approximately $1,330,000 and $1,425,000, subject to the 
enactment of the appropriations act that provides funds to CSREES.
    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.
    CSREES also 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 this program. 
Such comments will be used in meeting the requirements of section 
103(c)(2) of the Agricultural Research, Extension, and Education Reform 
Act of 1998 (AREERA).

DATES: All proposals must be received at USDA on or before January 22, 
2001. Proposals not received on or before this date will not be 
considered for funding.
    User comments are requested within six months from the issuance of 
the request for proposals (RFP). Comments received after that date will 
be considered to the extent practicable (see Part VII. G.).

ADDRESSES: Proposals should be submitted to the following mailing 
address: Special Research Grants Program, Potato Research; 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 Ave., S.W.; Washington D.C. 
20250-2245.
    The address for hand-delivered proposals or proposals submitted 
using an express mail or overnight courier service is: Special Research 
Grants Program, Potato Research; c/o Proposal Services Unit; Office of 
Extramural Programs; Cooperative State Research, Education, and 
Extension Service; U.S. Department of Agriculture; First Floor, 
Waterfront Centre; 800 9th Street, S.W.; Washington D.C. 20024. 
Telephone: (202) 401-5048.
    Written user comments should be submitted by mail to: Policy and 
Program Liaison Staff; Office of Extramural Programs; USDA-CSREES; STOP 
2299; 1400 Independence Avenue, S.W.; Washington, D.C. 20250-2299; or 
via e-mail to: [email protected]. (This e-mail address is intended 
only for receiving stakeholder input comments regarding this RFP, and 
not for requesting information or forms.)

FOR FURTHER INFORMATION CONTACT: Dr. James Parochetti; Cooperative 
State Research, Education, and Extension Service; U.S. Department of 
Agriculture; STOP 2220; 1400 Independence Avenue, S.W.; Washington, 
D.C. 20250-2220; telephone: (202) 401-4354; e-mail: 
[email protected].

SUPPLEMENTARY INFORMATION:   

Table of Contents

    Part I--General Information
    A. Legislative Authority
    B. Definitions
    C. Eligibility
Part II--Program Description
    A. Purpose of the Program
    B. Available Funds and Award Limitations
    C. Applicant Peer Review Requirements
Part III--Content of a Proposal
    A. Application for Funding (Form CSREES-661)
    B. Table of Contents
    C. Objectives
    D. Progress Report
    E. Procedures
    F. Justification
    G. Cooperation and Institutional Units Involved
    H. Literature Review
    I. Current Work
    J. Facilities and Equipment
    K. Project Timetable
    L. Personnel Support
    M. Collaborative and/or Subcontractual Arrangements
    N. Budget (Form CSREES-55)
    O. Budget Narrative
    P. Current and Pending Support (Form CSREES-663)
    Q. Assurance Statement(s) (Form CSREES-662)
    R. Peer Review Certification
    S. Other Certifications
    T. Compliance with the National Environmental Policy Act
    U. Additions to Project Description
Part IV--How to Obtain Application Materials
Part V--Submission of a Proposal
    A. What to Submit
    B. Where and When to Submit
    C. Acknowledgment of Proposals
Part VI--CSREES Selection Process and Evaluation Criteria
    A. Selection Process
    B. Evaluation Criteria
Part VII--Supplementary Information
    A. Access to CSREES Scientific Peer Review Information
    B. Grant Awards
    C. Use of Funds; Changes
    D. Other Federal Statutes and Regulations that Apply
    E. Confidential Aspects of Proposals and Awards
    F. Regulatory Information
    G. Stakeholder Input

Part I--General Information

A. Legislative Authority

    The authority for this program is contained in subsection (c)(1)(B) 
of section 2 of the Competitive, Special, and Facilities Research Grant 
Act, of Pub. L. No. 89-106, as amended (7 U.S.C. 450i(c)(1)(B)). Only 
section 3400.1, Applicability of regulations, Subpart C, Peer and Merit 
Review Arranged by Grantees, and Subpart D, Annual Reports, of the 
administrative regulations at 7 CFR part 3400 for the Special Grants 
Programs awarded under the authority of section 2(c) of this Act (7 
U.S.C. 450i(c)) apply to grants solicited and awarded under subsection 
(c)(1)(B).
    In accordance with the statutory authority, grants awarded under 
this program will be for the purpose of facilitating or expanding 
ongoing State-Federal food and agricultural research programs that--(i) 
promote excellence in research on a regional and national level; (ii) 
promote the development of regional research centers; (iii) promote the 
research partnership between the Department of Agriculture, colleges 
and universities, research foundations, and State agricultural 
experiment stations for regional research efforts; and (iv) facilitate 
coordination and cooperation of research among States through regional 
research grants.

B. 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 is 
delegated.
    (2) Authorized departmental officer (ADO) 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 (AOR) means the

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president, director, or chief executive officer or other designated 
official 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 an assembled group of experts or 
consultants qualified by training and experience in particular 
scientific or technical fields to give expert advice on the scientific 
and technical merit of grant applications in those fields.
    (8) Principal Investigator/Project Director means the single 
individual designated in the grant application and approved by the 
Secretary who is responsible for the direction and management of the 
project. Note that a proposal may have multiple secondary co-principal 
investigators/project directors but only one principal investigator/
project director.
    (9) Prior approval means written approval evidencing prior consent 
by an ADO 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, during which Federal sponsorship begins and ends.
    (12) Scientific peer review means an evaluation of a proposed 
project for technical quality and relevance to regional or national 
goals performed by experts with the scientific knowledge and technical 
skills to conduct the proposed research work. Peer reviewers may be 
selected from an applicant organization or from outside the 
organization, but shall not include principals, collaborators or others 
involved in the preparation of the application under review.
    (13) Secretary means the Secretary of Agriculture and any other 
officer or employee of the Department to whom the authority involved is 
delegated.

C. Eligibility

    Proposals may be submitted by State agricultural experiment 
stations, land-grant colleges and universities, research foundations 
established by land-grant colleges and universities, colleges and 
universities receiving funds under the Act of October 10, 1962, as 
amended (16 U.S.C. 582a et seq.), and accredited schools or colleges of 
veterinary medicine. The proposals must be directly related to potato 
varietal development/testing. Although an applicant may be eligible 
based on its status as one of these entities, other factors may exclude 
an applicant from receiving Federal assistance under this program 
(e.g., debarment or suspension, a determination of non-responsibility 
based on submitted organizational management information, etc.).

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 FY 2001. The 
purpose of this grant program is to support potato research that 
focuses on varietal development/testing. As used herein, varietal 
development/testing is research using traditional and biotechnological 
genetics to develop improved potato variety(ies). Aspects of 
evaluation, screening and testing must support or complement the 
development of improved varieties. This program is administered by 
CSREES of USDA.

B. Available Funds and Award Limitations

    Funds will be awarded on a competitive basis to support regional 
research projects that are composed of potato research that focuses on 
varietal development/testing. For purposes of this program, regional 
research means research having application beyond the immediate State 
in which the awardee resides and performs the project. The amount of 
funds available in FY 2001 for support of this program is anticipated 
to be between approximately $1,330,000 and $1,425,000 subject to the 
enactment of the appropriations act that provides funds to CSREES. Each 
proposal submitted in FY 2001 shall request funding for a period not to 
exceed one year. Funding for additional years will depend upon the 
availability of funds and progress toward objectives. FY 2001 awardees 
would need to recompete in future years for additional funding.
    Under this program, the Secretary may extend grant awards for the 
support of research projects for up to three years to further the 
program.

C. Applicant Peer Review Requirements

    Subsection (c)(5)(A) of the Competitive, Special, and Facilities 
Research Grant Act, as amended (7 U.S.C. 450i(c)(5)(A)) requires 
applicants to conduct a scientific peer review of a proposed research 
project in accordance with regulations promulgated by the Secretary 
prior to the Secretary making a grant award under this authority. 
Regulations implementing this requirement are set forth in 7 CFR 
3400.20 and 3400.21. The regulations impose the following requirements 
for scientific peer review by applicants of proposed research projects:
    1. Credible and independent. Review arranged by the grantee must 
provide for a credible and independent assessment of the proposed 
project. A credible review is one that provides an appraisal of 
technical quality and relevance sufficient for an organizational 
representative to make an informed judgment as to whether the proposal 
is appropriate for submission for Federal support. To provide for an 
independent review, such review may include USDA employees, but should 
not be conducted solely by USDA employees.
    2. Notice of completion and retention of records. A notice of 
completion of the review shall be conveyed in writing to CSREES either 
as part of the submitted proposal or prior to the issuance of an award, 
at the option of CSREES (see Part III. R.). The written notice 
constitutes certification by the applicant that a review in compliance 
with these regulations has occurred. Applicants are not required to 
submit results of the review to CSREES; however, proper documentation 
of the review process and results should be retained by the applicant.
    3. Renewal and supplemental grants. Review by the grantee is not 
automatically required for renewal or supplemental grants as defined in 
7 CFR 3400.6. A subsequent grant award will require a new review if, 
according to CSREES, either the funded project has changed 
significantly, other scientific discoveries have affected the project, 
or the need for the project has changed. Note that a new review is 
necessary when applying for another standard or continuation grant 
after expiration of the grant term.

Part III--Content of a Proposal

    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 (Form CSREES-661). One copy of the application, preferably the 
original, must contain the pen-and-ink

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signature(s) of the proposing principal investigator(s)/project 
director(s) and the AOR 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 Request (Block 13). If the project being proposed is a 
renewal of a grant that has been supported under the same program at 
any time during the previous five fiscal years, it is important that 
you show the latest grant number assigned to the project by CSREES.
    5. Principal Investigator(s)/Project Director(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; and
    3. Other pertinent information, including, when appropriate, cost 
analysis and explanation of cost overruns or unexpectedly high unit 
costs.

E. Procedures

    The procedures or methodology to be applied to the proposed effort 
should be explicitly stated. This section should include but not 
necessarily be limited to:
    1. A description of the proposed investigations and/or experiments 
in the sequence in which it is planned to carry them out;
    2. Techniques to be employed, including their feasibility;
    3. Kinds of results expected;
    4. Means by which data will be analyzed or interpreted;
    5. Pitfalls which might be encountered; and
    6. Limitations to proposed procedures.

F. Justification

    This section should include in-depth information on the following, 
when applicable:
    1. Estimates of the magnitude of the problem and its relevance to 
ongoing State-Federal food and agricultural research programs;
    2. Importance of starting the work during the current fiscal year; 
and
    3. Reasons for having the work performed by the proposing 
institution.

G. Cooperation and Institutional Units Involved

    Cooperative and multi-state applications are encouraged. Identify 
each institutional unit contributing to the project. Identify each 
State in a multiple-state proposal and designate the lead State. When 
appropriate, the project should be coordinated with the efforts of 
other State and/or national programs. Clearly define the roles and 
responsibilities of each institutional unit of the project team, if 
applicable.

H. Literature Review

    A summary of pertinent publications with emphasis on their 
relationship to the effort being proposed should be provided and should 
include all important and recent publications from other institutions, 
as well as those from the applicant institution. The citations 
themselves should be accurate, complete, and written in an acceptable 
journal format.

I. Current Work

    Current unpublished institutional activities to date in the program 
area under which the proposal is being submitted should be described.

J. Facilities and Equipment

    All facilities which are available for use or assignment to the 
project during the requested period of support should be reported and 
described briefly. Any potentially hazardous materials, procedures, 
situations, or activities, whether or not directly related to a 
particular phase of the effort, must be explained fully, along with an 
outline of precautions to be exercised. Examples include work with 
toxic chemicals and experiments that may put human subjects or animals 
at risk.
    All items of major instrumentation available for use or assignment 
to the proposed project also should be itemized. In addition, items of 
nonexpendable equipment needed to

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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. Each vita 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. 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 should be explained and 
justified in this section. A proposed statement of work, a budget, and 
a budget narrative 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 3015.205, which is part of 
the USDA Uniform Federal Assistance Regulations, flow down to 
subrecipients. In addition, required clauses from 7 CFR Part 3019 
sections 3019.40-3019.48 (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 S. of this part.

N. Budget (Form CSREES-55)

    Each proposal must contain a detailed budget (Form CSREES-55) 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:
    1. Salaries and Wages. Salaries and wages are allowable charges and 
may be requested for personnel who will be working on the project in 
proportion to the time such personnel will devote to the project. If 
salary funds are requested, the number of Senior and Other Personnel 
and the number of CSREES Funded Work Months must be shown in the spaces 
provided. Grant funds may not be used to augment the total salary or 
rate of salary of project personnel or to reimburse them for time in 
addition to a regular full-time salary covering the same general period 
of employment. Salary funds requested must be consistent with the 
normal policies of the institution and with OMB Circular No. A-21, Cost 
Principles for Educational Institutions. Administrative and Clerical 
salaries are normally classified as indirect costs. (See Item 9. 
below.) However, if requested under A.2.e., they must be fully 
justified.


    Note: In accordance with section 1473 of the National 
Agricultural Research, Extension, and Teaching Policy Act of 1977, 
as amended, 7 U.S.C. 3319, tuition remission is not an allowable 
cost under section 2(c)(1)(B) projects, and no funds will be 
approved for this purpose.


    2. Fringe Benefits. Funds may be requested for fringe benefit costs 
if the usual accounting practices of your institution provide that 
institutional contributions to employee benefits (social security, 
retirement, etc.) be treated as direct costs. Fringe benefit costs may 
be included only for those personnel whose salaries are charged as a 
direct cost to the project. See OMB Circular No. A-21, Cost Principles 
for Educational Institutions, for further guidance in this area.
    3. Nonexpendable Equipment. Nonexpendable equipment means tangible 
nonexpendable personal property including exempt property charged 
directly to the award having a useful life of more than one year and an 
acquisition cost of $5,000 or more per unit. However, consistent with 
recipient policy, lower limits may be established. As such, items of 
necessary instrumentation or other nonexpendable equipment should be 
listed individually by description and estimated cost. This applies to 
revised budgets as well, as the equipment item(s) and amount(s) may 
change.


    Note: For projects awarded under the authority of section 
2(c)(1)(B), 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 specified. Funds may be requested for 
field work or for travel to professional meetings. In the budget 
narrative, for both domestic and foreign travel, provide the purpose, 
the destination, method of travel, number of persons traveling, number 
of days, and estimated cost for each trip. If details of each trip are 
not known at the time of proposal submission, provide the basis for 
determining the amount requested.
    Travel and subsistence should be in accordance with organizational 
policy. Irrespective of the organizational policy, allowances for 
airfare will not normally exceed round trip jet economy air 
accommodations. Please note that 7 CFR 3015.205 is applicable to air 
travel.
    6. Publication Costs/Page Charges. Anticipated costs of preparing 
and publishing results of the research being proposed (including page 
charges,

[[Page 59264]]

necessary illustrations, and the cost of a reasonable number of 
coverless reprints) may be estimated and charged against the grant.
    7. Computer (ADPE) Costs. Reimbursement for the costs of using 
specialized facilities (such as a university- or department-controlled 
computer mainframe or data processing center) may be requested if such 
services are required for completion of the work.
    8. All Other Direct Costs. Anticipated direct project charges not 
included in other budget categories must be itemized with estimated 
costs and justified on a separate sheet of paper attached to Form 
CSREES-55. This applies to revised budgets as well, as the item(s) and 
dollar amount(s) may change. Examples may include space rental at 
remote locations, subcontractual costs, charges for consulting 
services, telephone, facsimile, e-mail, shipping costs, and fees for 
necessary laboratory analyses. You are encouraged to consult the 
``Instructions for Completing Form CSREES-55, Budget,'' of the 
Application Kit for detailed guidance relating to this budget category.
    9. Indirect Costs. Pursuant to Section 1473 of the National 
Agriculture Research, Extension, and Teaching Policy Act of 1977, as 
amended, 7 U.S.C. 3319, indirect costs are not allowable costs under 
section 2(c)(1)(B) projects, and no funds will be approved for this 
purpose. Further, costs that are a part of an institution's indirect 
cost pool (e.g., administrative or clerical salaries) may not be 
reclassified as direct costs for the purpose of making them allowable.
    10. Cost-sharing. Cost-sharing is not required nor will it be a 
factor in the awarding of any grant.

O. Budget Narrative

    All budget categories for which support is requested, must be 
individually listed (with costs) and justified on a separate sheet of 
paper and placed immediately behind the Budget Form.

P. Current and Pending Support (Form CSREES-663)

    All proposals must contain Form CSREES-663 listing this proposal 
and any other current or pending support to which key project personnel 
have committed or are expected to commit portions of their time, 
whether or not salary support for the person(s) involved is included in 
the budget for each project. This proposal should be identified in the 
pending section of this form.

Q. 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 
3015.205(b)(3), all key personnel identified in the proposal and all 
signatory officials of the proposing organization are required to 
comply with the guidelines established by the National Institutes of 
Health entitled, ``Guidelines for Research Involving Recombinant DNA 
Molecules,'' as revised. If your project proposes to use recombinant 
DNA or RNA techniques, the application must so indicate by checking the 
``yes'' box in Block 19 of Form CSREES-661 (Application for Funding) 
and by completing Section A of Form CSREES-662 (Assurance 
Statement(s)). For applicable proposals recommended for funding, 
Institutional Biosafety Committee approval is required before CSREES 
funds will be released.
    2. Animal Care. Responsibility for the humane care and treatment of 
live vertebrate animals used in any grant project supported with funds 
provided by CSREES rests with the performing organization. Where a 
project involves the use of living vertebrate animals for experimental 
purposes, all key project personnel and all signatory officials of the 
proposing organization are required to comply with the applicable 
provisions of the Animal Welfare Act of 1966, as amended (7 U.S.C. 2131 
et seq.), and the regulations promulgated thereunder by the Secretary 
in 9 CFR Parts 1, 2, 3 and 4 pertaining to the care, handling, and 
treatment of these animals. If your project will involve these animals 
or activities, you must check the ``yes'' box in Block 20 of Form 
CSREES-661 and complete Section B of Form CSREES-662. In the event a 
project involving the use of live vertebrate animals results in a grant 
award, funds will be released only after the Institutional Animal Care 
and Use Committee has approved the project.
    3. Protection of Human Subjects. Responsibility for safeguarding 
the rights and welfare of human subjects used in any grant project 
supported with funds provided by CSREES rests with the performing 
organization. Guidance on this issue is contained in the National 
Research Act, Pub. L. No. 93-348, as amended, and implementing 
regulations established by the Department under 7 CFR Part 1c. If you 
propose to use human subjects for experimental purposes in your 
project, you should check the ``yes'' box in Block 21 of Form CSREES-
661 and complete Section C of Form CSREES-662. In the event a project 
involving human subjects results in a grant award, funds will be 
released only after the appropriate Institutional Review Board has 
approved the project.

R. Peer Review Certification

    By signing the Application for Funding form, the AOR of the 
applicant institution is providing the required certification that the 
full proposal has received a credible and independent peer review 
arranged by the institution (see Part II. C.).

S. Other Certifications

    Note that by signing the Application for Funding form the applicant 
is providing the required certifications set forth in 7 CFR Part 3017, 
regarding Debarment and Suspension and Drug-Free Workplace, and 7 CFR 
Part 3018, regarding Lobbying. The certification forms are included in 
this application package for informational purposes only. These forms 
should not be submitted with your proposal since by signing the Form 
CSREES-661 your organization is providing the required certifications.
    If the project will involve a subcontractor or consultant, the 
subcontractor/consultant should submit a Form AD-1048 to the grantee 
organization for retention in their records. This form should not be 
submitted to USDA.

T. Compliance With the National Environmental Policy Act

    As outlined in 7 CFR Part 3407 (CSREES's regulations implementing 
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. These responsibilities 
include determining whether the project requires an Environmental 
Assessment (EA) or an Environmental Impact Statement (EIS) or whether 
it can be excluded from this requirement on the basis of several 
categorical exclusions listed in 7 CFR 3407.6. To assist CSREES in this 
determination, the applicant should review the categories defined for 
exclusion to ascertain whether the

[[Page 59265]]

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.
    Even though the applicant considers that a proposed project may 
fall within a categorical exclusion, 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.

U. Additions to Project Description

    Each project description is expected to be complete in itself. 
However, in those instances in which the inclusion of additional 
information is necessary, the number of copies submitted should match 
the number of copies of the application requested in Part V.A. below. 
Each set of such materials must be identified with the title of the 
project and the name(s) of the principal investigator(s)/project 
director(s) as they appear on the ``Application for Funding.'' Examples 
of additional materials include photographs that do not reproduce well, 
reprints, and other pertinent materials which are deemed to be 
unsuitable for inclusion in the body of the proposal.

Part IV--How To Obtain Application Materials

    Copies of this request for proposals and the Application Kit may be 
obtained by writing to the address or calling the telephone number 
which follows: 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. 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 which states that you want a copy of the application materials 
for the FY 2001 Special Research Grants Program, Potato Research with 
your name, mailing address (not e-mail) and phone number to 
[email protected]. The materials will then be mailed to you (not e-
mailed) as quickly as possible.

Part V--Submission of a Proposal

    A. What To Submit
    An original and 18 copies of each grant proposal must be submitted. 
Proposals should contain all requested information when submitted. Each 
proposal should be typed on 8\1/2\"  x  11" white paper, single-spaced, 
and on one side of the page only. Please note that the text of the 
proposal should be prepared using no type smaller than 12 point font 
size and one-inch margins. 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. 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 January 22, 2001, and 
submitted to the following mailing address: Special Research Grants 
Program, Potato Research; 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 Ave., S.W.; 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: Special 
Research Grants Program, Potato Research; c/o Proposal Services 
Unit, Office of Extramural Programs; CSREES/USDA; First Floor, 
Waterfront Centre; 800 9th 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 via e-mail. 
Therefore, it is important to include your e-mail address on Form 
CSREES-712 when applicable. This acknowledgment will contain a proposal 
identification number. Once your proposal has been assigned a proposal 
number, please cite that number in future correspondence.

Part VI--CSREES 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 scientific peer 
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 CSREES 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 CSREES staff members, peer reviewers, and the 
proposed principal investigator(s), to the extent permitted by law.

B. Evaluation Criteria

    1. Overall scientific and technical quality of the proposal--10 
points.
    2. Scientific and technical quality of the approach--10 points.
    3. Relevance and importance of proposed research to solution of 
specific areas of inquiry, and application of expected results for 
States beyond the State in which the grantee resides and will perform 
the work--30 points.
    4. Feasibility of attaining objectives; adequacy of professional 
training and experience, facilities and equipment; the cooperation and 
involvement of multiple institutions or states--50 points.

Part VII--Supplementary Information

A. Access to CSREES Scientific 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

[[Page 59266]]

by the Administrator as the effective date of the grant shall be no 
later than September 30 of the fiscal year for which a grant is 
awarded. 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 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 CSREES as 
part of the pre-award process.
    3. Grant Award Document: The grant award document shall include at 
a minimum the following:
    a. Legal name and address of performing organization or institution 
to whom the Administrator has awarded a grant under this program;
    b. Title of Project;
    c. Name(s) and address(es) of principal investigator(s) chosen to 
direct and control approved activities;
    d. Grant identification number assigned by the Department;
    e. Project period, specifying the amount of time the Department 
intends to support the project without requiring recompetition for 
funds;
    f. Total amount of Departmental financial assistance approved by 
the Administrator during the project period;
    g. Legal authority(ies) under which the grant is awarded;
    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 ADO for a final 
determination.
    b. Changes in approved goals, or objectives, shall be requested by 
the grantee and approved in writing by the ADO prior to effecting such 
changes. In no event shall requests for such changes be approved which 
are outside the scope of the original approved project.
    c. Changes in approved project leadership or the replacement or 
reassignment of other key project personnel shall be requested by the 
grantee and approved in writing by the awarding official of CSREES 
prior to effecting such changes.

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 Part 1, Subpart A--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--Uniform Federal Assistance Regulations, 
implementing OMB directives (i.e., Circular Nos. A-21 and A-122) and 
incorporating provisions of 31 U.S.C. 6301-6308 (formerly the Federal 
Grant and Cooperative Agreement Act of 1977, Pub. L. No. 95-224), as 
well as general policy requirements applicable to recipients of 
Departmental financial assistance.
    7 CFR Part 3017--USDA implementation of Governmentwide Debarment 
and Suspension (Nonprocurement) and Governmentwide Requirements for 
Drug-Free Workplace (Grants).
    7 CFR Part 3018--USDA implementation of Restrictions on Lobbying. 
Imposes prohibitions and requirements for disclosure and certification 
related to lobbying on recipients of Federal contracts, grants, 
cooperative agreements, and loans.
    7 CFR Part 3019--USDA implementation of OMB Circular A-110, Uniform 
Administrative Requirements for Grants and Other Agreements With 
Institutions of Higher Education, Hospitals, and Other Nonprofit 
Organizations.
    7 CFR Part 3052--USDA implementation of OMB Circular No. A-133, 
Audits of States, Local Governments, and Nonprofit Organizations.
    7 CFR Part 3407--CSREES procedures to implement the National 
Environmental Policy Act of 1969, as amended.
    29 U.S.C. 794, section 504 of the Rehabilitation Act of 1973, and 7 
CFR Part 15d (USDA implementation of statute)--prohibiting 
discrimination based upon disability in Federally assisted programs.
    35 U.S.C. 200 et seq.--Bayh-Dole Act, controlling allocation of 
rights to inventions made by employees of small business firms and 
domestic nonprofit organizations, including universities, in Federally 
assisted programs (implementing regulations are contained in 37 CFR 
Part 401).

E. Confidential Aspects of Proposals and Awards

    When a proposal results in a grant, it becomes a part of the record 
of CSREES's transactions, available to the public upon specific 
request. Information that the Secretary determines to be of a 
privileged nature will be held in confidence to the extent permitted by 
law. Therefore, any information that the applicant wishes to have 
considered as privileged should be clearly marked as such and sent in a 
separate statement, two copies of which should accompany the proposal.
    The original copy of a proposal that does not result in a grant 
will be retained by CSREES for a period of one

[[Page 59267]]

year. Other copies will be destroyed. Such a proposal will be released 
only with the consent of the applicant or to the extent required by 
law. A proposal may be withdrawn at any time prior to the final action 
thereon.

F. Regulatory Information

    For the reasons set forth in the final Rule-related Notice to 7 CFR 
part 3015, subpart V (48 FR 29115, June 24, 1983), this program is 
excluded from the scope of the Executive Order 12372 which requires 
intergovernmental consultation with State and local officials. Under 
the provisions of the Paperwork Reduction Act of 1995, as amended (44 
U.S.C. chapter 35), the collection of information requirements 
contained in this Notice have been approved under OMB Document No. 
0524-0022.

G. Stakeholder Input

    CSREES is soliciting comments regarding this request for proposals 
from any interested party. In your comments, please include the name of 
the program and the fiscal year of the request for proposals to which 
you are responding. These comments will be considered in the 
development of the next request for proposals for the program. Such 
comments will be used in meeting the requirements of section 103(c)(2) 
of AREERA, 7 U.S.C. 7613(c). Comments should be submitted as provided 
in the ADDRESSES and DATES portions of this Notice.

    Done at Washington, D.C., this 22nd day of September, 2000.
Charles W. Laughlin,
Administrator, Cooperative State Research, Education, and Extension 
Service.
[FR Doc. 00-25365 Filed 10-3-00; 8:45 am]
BILLING CODE 3410-22-P