[Federal Register Volume 66, Number 57 (Friday, March 23, 2001)]
[Notices]
[Pages 16362-16372]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-7265]



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Part III





Department of Agriculture





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Cooperative State Research, Education and Extension Service





National Science Foundation





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

  Federal Register / Vol. 66, No. 57 / Friday, March 23, 2001 / 
Notices  

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DEPARTMENT OF AGRICULTURE

Cooperative State Research, Education, and Extension Service

NATIONAL SCIENCE FOUNDATION


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

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

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 U.S. 
Department of Agriculture (USDA), and the National Science Foundation 
(NSF) are soliciting proposals for the Microbial Genome Sequencing 
Project. 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 this request for proposals (RFP) for use in 
the development of any future RFPs for this Program.

DATES: A ``Letter of Intent'' is requested and due by close of business 
(COB) on April 13, 2001 (5:00 p.m. EST). Proposals must be received by 
COB on May 4, 2001 (5:00 p.m. EST). Proposals received after this date 
will not be considered for funding. Comments regarding this RFP are 
requested within six months from the issuance of this notice. Comments 
received after that date will be considered to the extent practicable.

ADDRESSES: Applicants may e-mail the ``Letter of Intent'' to Dr. Ann 
Lichens-Park at [email protected] or send the letter by mail to the 
Microbial Sequencing Project, Mail Stop 2241, Cooperative State 
Research, Education, and Extension Service, U.S. Department of 
Agriculture, 1400 Independence Avenue, SW., Washington, D.C. 20250-
2241; or fax the letter to the Microbial Genome Sequencing Project at 
(202) 401-6488.
    The address for hand-delivered proposals or proposals submitted 
using an express mail or overnight courier service is: Microbial Genome 
Sequencing Project, c/o Proposal Services Unit, Cooperative State 
Research, Education, and Extension Service, U.S. Department of 
Agriculture, Room 1307, Waterfront Centre, 800 9th Street, SW., 
Washington, DC 20024.
    Proposals sent via the U.S. Postal Service must be sent to the 
following address: Microbial Genome Sequencing Project, c/o Proposal 
Services Unit, Cooperative State Research, Education, and Extension 
Service, U.S. Department of Agriculture, STOP 2245, 1400 Independence 
Avenue, SW., Washington, DC 20250-2245.
    Written user comments should be submitted by mail to: Policy and 
Program Liaison Staff, Office of Extramural Programs, Cooperative State 
Research, Education, and Extension Service, U.S. Department of 
Agriculture, STOP 2299, 1400 Independence Avenue, SW., Washington, DC 
20250-2299; or via e-mail to: [email protected]. In your comments, 
please include the name of the program and the fiscal year of the RFP 
to which you are responding.

FOR FURTHER INFORMATION CONTACT: Dr. Ann Lichens-Park, Initiative For 
Future Agriculture and Food Systems; Cooperative State Research, 
Education, and Extension Service; U.S. Department of Agriculture, STOP 
2241, 1400 Independence Avenue, SW.; Washington, DC 20250-2241, 
telephone: 202-401-6466, fax: 202-401-6488, e-mail: [email protected]; 
or Dr. Matthew Kane, National Science Foundation, 4201 Wilson Blvd; 
Arlington, VA 22230; telephone: (702) 292-7189; fax: (703) 292-9064; e-
mail: [email protected].

SUPPLEMENTARY INFORMATION:

Table of Contents

Stakeholder Input

Catalog of Federal Domestic Assistance

Part I--General Information
    A. Legislative Authority and Background
    B. Purpose, Priorities and Fund Availability
    C. Eligibility
    D. Matching Requirements
    E. Types of Proposals
    F. Restrictions on Use of Funds
Part II--Letter of Intent and Program Description
    A. Letter of Intent
    B. Program Description
Part III--Preparation of a Proposal
    A. Program Application Materials
    B. Content of Proposals
    1. General
    2. Application for Funding Cover Page (Form CSREES-661)
    3. Table of Contents
    4. Project Summary
    5. Response to Previous Review
    6. Project Description
    7. References in Project Description
    8. Appendices to Project Description
    9. Facilities and Equipment
    10. Collaborative and/or Subcontractual Arrangements
    11. Key Personnel
    12. Conflict-of-Interest List
    13. Budget
    14. Budget Narrative
    15. Matching Funds
    16. Current and Pending Support (Form CSREES-663)
    17. Assurance Statements (Form CSREES-662)
    18. Certifications
    19. National Environmental Policy Act Exclusions Form (CSREES-
1234)
    C. Application Submission Information
    D. Acknowledgment of Proposals
Part IV--Review Process
    A. General
    B. Evaluation Factors
Part V--Award Administration
    A. General
    B. Organizational Management Information
    C. Award Document
    D. Notice of Award
    E. Funding Mechanisms
    F. Use of Funds; Changes
    G. Applicable Regulations
    H. Additional Information
    I. Confidential Aspects of Proposals and Awards

Stakeholder Input

    CSREES is requesting comments regarding this solicitation from any 
interested party. These comments will be considered in the development 
of any future RFP for the program. Such comments will be forwarded to 
the Secretary of Agriculture or her designee for use in meeting the 
requirements of section 103(c)(2) of the Agricultural Research, 
Extension, and Education Reform Act of 1998 (7 U.S.C. 7613(c)(2). This 
section requires the Secretary to solicit and consider input on a 
current RFP from persons who conduct or use agricultural research, 
education, and extension for use in formulating future RFPs for 
competitive programs. Comments should be submitted as provided for in 
the Addresses and Dates portions of this Notice.

Catalog of Federal Domestic Assistance

    This program is listed in the Catalog of Federal Domestic 
Assistance under 10.302, Microbial Genome Sequencing Project, 
Initiative for Future Agriculture and Food Systems.

Part I--General Information

A. Legislative Authority and Background

    Section 401 of the Agricultural Research, Extension, and Education 
Reform Act of 1998 (AREERA) (7 U.S.C. 7621) established in the Treasury 
of the United States an Initiative for Future Agriculture and Food 
Systems (IFAFS) account and authorized the Secretary of Agriculture to 
establish a research, extension, and education competitive grants 
program to address critical emerging U.S. agricultural issues related 
to (1) future food production, (2)

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environmental quality and natural resource management, or (3) farm 
income. Grants are to be awarded in a number of areas including 
Agricultural Genome. Microbes, being of significant importance to the 
environment, and to agricultural production and processing, are an 
appropriate organism of genomic study under this authority. 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. Microbes are of great fundamental biological interest, therefore 
their genomic study is appropriate to the NSF authority.
    An Interagency Working Group on Microbial Genomics established in 
August 2000 created The Microbe Project (MPIWG) to: 1) identify 
science-based priorities for a national microbial genome initiative; 
and 2) plan for a collaborative interagency approach to address these 
priorities. One of the Project's goals is to develop a coordinated 
national effort to sequence microbial genomes of broad agricultural and 
biological importance. It is expected that through these efforts the 
resulting information, data, research tools and biological materials 
can be made readily and openly available to the scientific community at 
large. The Microbial Sequencing Project is a major step towards 
achieving the MPIWG's goals.

B. Purpose, Priorities and Fund Availability

    The purpose of this interagency program announcement is to solicit 
proposals to conduct high-throughput sequencing of genomes of microbes 
that are of fundamental biological interest, as well as those that are 
important to the productivity and sustainability of agriculture and 
forestry, and to the safety and quality of the nation's food supply. 
Priority will be given to projects that will provide whole genome 
sequence data and mapping information on microorganisms to fill key 
gaps in our knowledge of microbial diversity, of microbes that play 
roles in diverse ecosystems, and/or microbes that have an impact on 
agriculture. Priority also will be given to projects that integrate 
education and outreach and those that establish close collaboration 
among multiple investigators, institutions and end users.
    There is no commitment by USDA or NSF to fund any particular 
proposal or to make a specific number of awards. The participating 
agencies currently have a total of approximately $9 million available 
for this Program in fiscal year (FY) 2001. Subject to the availability 
of funds, the participating agencies anticipate that an additional $10 
million in funding will be available each year for this program or a 
successor program in FY 2002 and FY 2003, for an anticipated total 
level of support of approximately $30 million over three years.
    Applicants may request funding of up to $2 million over four years. 
Awards will be made in the form of grants or 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, agency priorities, 
and on the availability of funds. Each participating agency will 
obligate funds separately. However, a proposal may be funded by one or 
both of the participating agencies.

C. Eligibility

    Proposals may be submitted by colleges and universities or research 
foundations maintained by a college or university and/or non-profit 
organizations. The source of USDA funds for the Microbial Genome 
Sequencing Project is the IFAFS program. Under the IFAFS program, 
proposals may be submitted by colleges and universities or research 
foundations maintained by a college or university. This represents a 
change from the FY 2000 IFAFS solicitation. Section 724 of Public Law 
106-389, as amended by section 101(3) of H.R. 566 which was enacted by 
section 1(a)(4) of Public Law 106-554, removed Federal research 
agencies, national laboratories and private research organizations from 
eligibility for IFAFS awards. Consortia of such institutions with 
appropriate research and educational facilities may apply, but a single 
organization or individual must accept overall management 
responsibility.
    Other types of institutions are not eligible as direct recipients 
of IFAFS funds, however they may be included as subcontracts on grants 
made to eligible institutions. Therefore, applications from academic 
institutions may be awarded by either USDA or NSF. Direct applications 
from non-profit organizations may be supported solely by NSF funds.

D. Matching Requirements

    For funds provided by the USDA, grantees will be required to 
provide funds or in-kind support to match the amount of Federal funds 
provided if the grant provides for applied research that is commodity 
specific and not of national scope.

E. Types of Proposals

    In FY 2001, it is anticipated that most projects will be submitted 
as New Proposals. However, the USDA held a Microbial Genomics 
competition through the IFAFS Program in FY 2000 for agriculturally 
important microbes. Applicants to that program who were not grantees 
may choose to submit to the Microbial Genome Sequencing Project as a 
resubmission. Therefore two types of applications may be submitted:
1. New Proposal
    This is a project proposal that has not been previously submitted 
to Microbial Genomics Program of the Initiative for Future Agriculture 
and Food Systems. All new proposals will be reviewed competitively 
using the selection process and evaluation criteria described in Part 
IV--Review Process.
2. Resubmitted Proposal
    This is a proposal that had been previously submitted to the IFAFS 
Microbial Genome Program but was not funded. The resubmitted proposal 
should clearly indicate the changes that have been made in the project 
proposal. Further, a clear statement acknowledging comments from the 
previous reviewers, indicating revisions, rebuttals, etc., can 
positively influence the review of the proposal. Therefore, for 
resubmitted proposals, the investigator(s) must respond to the previous 
panel summary on no more than one page titled, Response to Previous 
Review, which is to be placed directly after the Project Summary as 
described in Part III--Preparation of a Proposal. Resubmitted proposals 
will be reviewed competitively using the selection process and 
evaluation criteria described in Part IV--Review Process.

F. Restrictions on Use of Funds

1. Funds for Buildings and Facilities
    Microbial Genome Sequencing Project funds may not be used for the 
renovation or refurbishment of research spaces; the purchase or 
installation of fixed equipment in such spaces; or the planning, 
repair, rehabilitation, acquisition, or construction of buildings or 
facilities.
2. Funds for Human Cloning
    In accordance with the President's Memorandum of March 4, 1997, 
regarding the use of Federal funds for the cloning of human beings (33 
Weekly Comp. Pres. Doc. 278), Microbial Genome Sequencing Project funds 
shall not be used to support, fund, or undertake any cloning activity 
that could lead to the creation of a new human being with genetic 
material identical to that of another human being, including research 
related directly thereto. The prohibition on use

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of grant funds to support human cloning activity includes using, or 
making available for use, grant-funded equipment for use in connection 
with human cloning. This ban does not restrict research into the 
cloning of plants, animals, or individual human cells that cannot 
develop into a new human being.

Part II--Letter of Intent and Program Description

A. Letter of Intent

    Applicants are strongly encouraged to submit a Letter of Intent 
before submitting a full proposal. This letter should consist of three 
parts: (1) A descriptive title of the proposed project; (2) names and 
roles of project directors and other key personnel along with their 
institutions; and (3) a brief statement of approaches and objectives 
(500 words or less). This information will be used by CSREES and NSF 
staff in planning the review process. Because Letters of Intent will 
not be distributed for peer review, there will be no feedback from 
CSREES or NSF staff regarding the content of these letters. See Part 
III, C., Application Submission Information for specific mailing 
instructions. Failing to submit a Letter of Intent will not preclude 
applicants from submitting full proposals, however a Letter of Intent 
is nonetheless encouraged.

B. Program Description

    Microorganisms dominate the planet in terms of total mass, species 
diversity, and metabolic diversity. They include plant and animal 
pathogens, microbes that are beneficial to higher organisms, organisms 
that synthesize useful products, or play critical roles in the Earth's 
ecosystems and biogeochemical cycles. Many are of enormous present and 
future economic and/or agricultural value. Although genome sequence 
information in itself is only an ordered list of chemical bases, it 
provides the foundation for understanding how the organism functions 
and lives, and how the organism interacts with the environment and with 
other organisms. This knowledge can be used to detect unknown micro-
organisms and understand their properties, e.g. why an organism may be 
pathogenic or beneficial to a plant or animal, or how its properties 
might be exploited in metabolic engineering, bioremediation, 
development of sensitive and specific diagnostic tools, improved 
treatments and preventatives, or more effective vaccines. Knowledge of 
the genomes of microorganisms is expected to be one of the prime 
driving forces for research in the life sciences, including 
agriculture, biotechnology, forestry, food safety, and environmental 
engineering over the next quarter century.
    This program is designed primarily to encourage competitive 
research grant applications in support of high-throughput sequencing of 
genomes of microorganisms (including viruses, bacteria, archaea, fungi, 
and protozoa) that are of fundamental biological interest, as well as 
those that are important to the productivity and sustainability of 
agriculture and forestry, and to the safety and quality of the nation's 
food supply. This integrated program will provide whole genome sequence 
data and mapping information on microorganisms that will fill key gaps 
in our knowledge of microbial diversity, of microbes that play roles in 
diverse ecosystems, and/or microbes that have an impact on agriculture. 
Sequencing proposals also should incorporate an education, training, or 
outreach component within the scope of the project to facilitate 
education of students and the public, as well as to facilitate 
application of this knowledge to agricultural challenges where 
applicable. Education or outreach components may focus on genomics 
technology or on computational biology and informatics.
    It is recognized that complete genome coverage is the most 
desirable end-point for whole genome sequencing. However, 
agriculturally and environmentally relevant microbes encompass a 
sizable number of microorganisms relevant to animals, plants, and 
natural resources. To date, very few agricultural or environmental 
microbes have been, or are in the process of being, sequenced. 
Consequently, agriculture and environmental biology lag behind other 
fields, such as human health and energy production, with respect to 
microbial genomics. For this reason, it may be appropriate in some 
cases to attempt lower level (e.g., 3X-5X) coverage to provide data on 
multiple organisms. Choice of complete sequence or ``rough draft'' 
coverage is left up to the principal investigators and should be 
justified in the proposal. As a longer term goal, full genome coverage 
of several (or all) of these organisms may be desirable. Therefore, 
investigators proposing partial coverage should explain how the strains 
or isolates used, high quality genomic DNA from the organism, and an 
appropriate set of verified clones developed during the course of the 
sequencing project, will remain accessible to the scientific community 
for at least five years. Either a cost-recovery system or use of a 
commercial repository is permissible, provided that the plan is 
outlined in the proposal, with an appropriate budget.
    Microbial genome projects will be chosen with respect to each 
agency's mission (fundamental biological interest--NSF, agricultural 
relevance--USDA). Specific examples of organisms of interest to USDA 
include high priority pathogens of: animals (e.g. Actinobacillus 
pleuropneumoniae, Edwardsiella ictaluri, Eimeria spp., Haemophilus 
somnus); plants (e.g., Erwinia spp., Clavibacter spp., Streptomyces 
scabies, Aspergillus spp.), or; food-borne origin (e.g., Yersinia 
enterocolitica). Choices might also include beneficial/useful organisms 
such as ones from soil (e.g., Rhizobium spp., Methylobacterium 
extorquens, Pseudomonas spp.) or rumen (e.g., Ruminococcus 
flavefaciens, Prevotella bryantii). Microorganisms relevant to 
aquaculture species and horses are included, along with microorganisms 
of animals raised for food and fiber. By the time this solicitation is 
released, it is possible that the sequencing of one or more of these 
example organisms may already be funded for the public domain; mention 
here does not guarantee a high priority for sequencing.
    Clearly, a large number of microorganisms fit these broad criteria 
and it is not the intention of USDA or NSF to dictate which organisms 
should be sequenced. Rather, the choice of organism(s) will be left to 
the applicant(s) who must justify selection(s) on the basis of 
biological interest and/or agricultural importance. Organism strains 
whose sequences are already being targeted by others should be avoided, 
unless this information will not be in the public domain. If one strain 
in a particular species is already being sequenced, the applicant 
should provide strong justification as to why sequencing of another 
strain should be undertaken. To help assess the current sequencing 
status for particular microorganisms, applicants are strongly 
encouraged to visit websites that summarize completed and on-going 
sequencing projects. For example, the following URL sites may prove 
useful:

http://www.tigr.org/tdb/mdb/mdb.html;
http://www.doe.gov/production/ober/EPER/mig_cont.html;
http://www.niaid.nih.gov/dmid/genomes/default.htm;
http://www.sanger.ac.uk/Projects/;
http://www.genome.wisc.edu;
http://www.genome.wustl.edu/gsc/index.shtml;

    Phylogenetic affiliation and evolutionary significance may also be 
addressed when these are considered relevant to the choice of organism. 
Also,

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it should be noted that some organisms may be of profound biological or 
agricultural importance but not easily cultured or subjected to genetic 
analysis. Such organisms may be strong candidates for sequencing.
    Protozoa, fungi and some bacteria have relatively large genomes, 
not easily completed under the support of a single grant. Requests for 
partial funding of a genome are allowable as long as future plans for 
completing the work are outlined. In these instances, investigators are 
encouraged to seek partners, in either the form of consortia or support 
from other sources, so that the sequence can be completed in a 
reasonable time-frame. As long as the goals and limits of the 
individual projects are clearly addressed, such cooperative projects 
are encouraged, as are international collaborations. The expected 
outcome of the project will be a high quality sequence, much or all of 
it contiguous, with annotation of open reading frames and deposited in 
a publicly accessible data base. Additionally, for eukaryotic 
organisms, applications may propose large-scale expressed sequence tag 
(EST) projects. For these larger genomes, applicants should indicate 
the status of efforts supported by other funding agencies and how these 
efforts would be coordinated with a USDA or NSF funded activity.
    Investigators are to provide detailed information on the 
organism(s) chosen, the method of library preparation and all other 
pertinent methodological information. Mechanisms to assess validity and 
accuracy of the data must be described in the proposal. All cloning and 
sequencing technologies/strategies, particularly ones that are novel, 
should be described. In judging the merits of a proposal, the speed, 
level of accuracy, and cost effectiveness of the proposed work will be 
important issues and considered as one of the evaluation criteria under 
this program. The number of bases to be sequenced per unit time and an 
estimate of the dollars required to produce a specific amount of base 
sequence must be calculated. The latter value should include the costs 
of generating clones, assembly of sequence and annotation.

Part III--Preparation of a Proposal

A. Program Application Materials

    Both 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. Proposals that are funded by NSF may be subject to 
additional submission and reporting requirements.
    Program application materials are available at the CSREES website 
(www.reeusda.gov/microbialgenomics). If you do not have access to the 
CSREES web page or have trouble downloading material, you may contact 
the Proposal Services Unit, Office of Extramural Programs, USDA/CSREES 
at (202) 401-5048. When calling the Proposal Services Unit, please 
indicate that you are requesting forms for the Microbial Genome 
Sequencing Project. These materials may also be requested via Internet 
by sending a message with your name, mailing address (not e-mail) and 
phone number to [email protected]. State that you want a copy of the 
Program Description and application materials (orange book) for the 
Fiscal Year 2001 Microbial Genome Sequencing Project.

B. Content of Proposals

1. General
    The proposal should follow these guidelines, enabling reviewers to 
more easily evaluate the merits of each proposal in a systematic, 
consistent fashion:
    (a) The proposal should be prepared on only one side of the page 
using standard size (8\1/2\" x 11") white paper, one inch margins, 
typed or word processed using no type smaller than 12 point font, and 
single or double spaced. Use an easily readable font face (e.g., 
Geneva, Helvetica, Times Roman).
    (b) Each page of the proposal, including the Project Summary, 
budget pages, required forms, and any appendices, should be numbered 
sequentially.
    (c) The proposal should be stapled in the upper left-hand corner. 
Do not bind. An original and 14 copies (15 total) must be submitted in 
one package, along with 10 copies of the ``Project Summary'' as a 
separate attachment.
    (d) If applicable, proposals should include original illustrations 
(photographs, color prints, etc.) in all copies of the proposal to 
prevent loss of meaning through poor quality reproduction.
2. Application for Funding Cover Page (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 signature(s) of the proposing 
principal investigator(s)/project director(s)(PI/PD) and the authorized 
organizational representative who possesses the necessary authority to 
commit the organization's time and other relevant resources to the 
project. Any proposed PI/PD or co-PI/PD 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: (a) 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,'' ``research on,'' ``education 
for,'' or ``outreach that'' should not be used.
    (b) Program to Which You Are Applying (Block 7) ``Fiscal Year 2001 
Microbial Genome Sequencing Project.''
    (c) Type of Award Request (Block 13). Check the block for ``new'' 
or ``resubmission.''
    (d) Principal Investigator(s)/Project Director(s) (PI/PD) (Block 
15). The designation of excessive numbers of co-PI/PD's creates 
problems during final review and award processing. Listing multiple co-
PI/PD's, beyond those required for genuine collaboration, is therefore 
discouraged. Note that providing a Social Security Number is voluntary, 
but is an integral part of the CSREES information system and will 
assist in the processing of the proposal.
    (e) 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.
    (f) 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

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inform the identified CSREES Program Director 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. Complete the ``Application for Funding,'' Form 
CSREES-661, in its entirety.
    (g) One copy of the ``Application for Funding'' form must contain 
the signatures (in ink) of the PI/PD(s) and authorized organizational 
representative for the applicant organization.
3. 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).
4. Project Summary
    The proposal must contain a Project Summary of 250 words or less on 
a separate page which should be placed immediately after the Table of 
Contents and should not be numbered. The names and institutions of all 
PI/PDs and co-PI/PDs should be listed on this form, in addition to the 
title of the project. 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, specific 
description of the activity to be undertaken and should focus on: 
Overall project goal(s) and supporting objectives; plans to accomplish 
project goal(s); and relevance of the project to the goals of the 
Microbial Sequencing Project.
5. Response to Previous Review
    This requirement only applies to ``Resubmitted Proposals'' as 
described under Part 1.E, ``Types of Proposals.'' Resubmitted proposals 
are proposals that have previously been submitted to IFAFS but not 
funded. For these proposals, the principal investigator(s)/project 
director(s) must response to the previous panel summary on no more than 
one page, titled, ``Response to Previous Review,'' which is to be 
placed directly after the Project Summary. If desired, additional 
comments and responses to the previous panel summary may be included in 
the text of the Project Description, subject to the page limitation.
6. Project Description
    A description of the project must not exceed 15 pages inclusive of 
tables, diagrams and other visual material, but excluding citations. 
The project description should be numbered and single or double-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. Relevance and significance of microorganism(s) and other 
proposed activities. Include a justification for the microorganism(s) 
on the basis of biological interest and/or agricultural importance. 
Include a description of the significance of education/training or 
outreach activities and their value in improving agriculture and/or 
fundamental biology. Clearly describe the potential impact of the 
project.
    b. Sequencing Strategies. 1. DNA substrates to be sequenced. 
Investigators are to provide detailed information on the DNA chosen, 
the method of library preparation and all other pertinent 
methodological information. If only a portion of a microbial genome 
will be sequenced (e.g. fungi; protozoa), the strategies proposed must 
be scalable and applicable to efforts to sequence the entire 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. Where applicable, plans 
to fill sequence gaps and coordinate sequencing efforts 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 genome.
    c. Project Management. 1. Plans for establishing a linkage to a 
larger research community in order to ensure a close collaboration 
between the sequencing project and the ultimate user community of the 
sequence information.
    2. Where applicable, plans for establishing coordination with other 
existing or planned projects to sequence the microbe(s), both 
nationally and internationally.
    3. Ways to assess progress of the project, including establishing 
milestones and measuring progress toward them, and/or the use of an 
advisory committee when applicable.
    4. Available facilities and equipment including a statement of 
institutional commitment for the successful completion of the project.
    d. Information Management. 1. Data management plan should address 
issues, including: (1) Mechanisms to assess validity and accuracy of 
data obtained; (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. Timely release is strongly 
encouraged in recognition of the benefits to the broader research 
community. Release should be accompanied by appropriate information on 
the reliability of the data (e.g., level of coverage and extent of 
assembly, extent of contamination with vector and other sequences, 
statistical measures of accuracy). At a minimum, it is anticipated that 
sequence data will be released within one month after 3X coverage of 
the genome (or chromosome for eukaryotic organisms) is achieved. The 
released data should be provided as assemblies of equal to, or greater 
than, one kilobase contigs. Subsequent releases of assembled sequences 
should be provided at least on a monthly basis.
    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.
7. References in Project Description
    All references cited should be complete, including titles and co-
authors, and should conform to an accepted journal format.
8. Appendices to Project Description
    Appendices to the Project Description are allowed if they are 
directly germane to the proposed project and are limited

[[Page 16367]]

to a total of two of the following: reprints (papers that have been 
published in peer reviewed journals) and preprints (manuscripts in 
press for a peer reviewed journal; these must be accompanied by a 
letter of acceptance from the publishing journal).
9. 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.
10. Collaborative and/or Subcontractual Arrangements
    If it will be necessary to enter into formal consulting or 
collaborative arrangements with others, such arrangements should be 
fully explained and justified. In addition, evidence should be provided 
that the collaborators involved have agreed to render these services. 
If the need for consultant services is anticipated, the proposal 
narrative should provide a justification for the use of such services, 
a statement of work to be performed, and a resume or curriculum vita 
for each consultant. For purposes of proposal development, informal 
day-to-day contacts between key project personnel and outside experts 
are not considered to be collaborative arrangements and thus do not 
need to be detailed.
    All anticipated subcontractual arrangements also should be 
explained and justified in this section. A proposed statement of work 
and a budget for each arrangement involving the transfer of substantive 
programmatic work or the providing of financial assistance to a third 
party must be provided. Agreements between departments or other units 
of your own institution and minor arrangements with entities outside of 
your institution (e.g., requests for outside laboratory analyses) are 
excluded from this requirement.
    If you expect to enter into subcontractual arrangements, please 
note that the provisions contained in 7 CFR Part 3019, USDA Uniform 
Administrative Requirements for Grant and Other Agreements with 
Institutions of Higher Education, Hospitals, and Other Non-Profit 
Organizations, and the general provisions contained in 7 CFR Part 
3015.205, USDA Uniform Federal Assistance Regulations, flow down to 
subrecipients. In addition, required clauses from Sections 40-48 
(``Procurement Standards'') and Appendix A (``Contract Provisions'') of 
7 CFR Part 3019 should be included in final contractual documents, and 
it is necessary for the subawardee to make a certification relating to 
debarment/suspension.
11. Key Personnel
    All senior personnel who are expected to be involved in the effort 
should be clearly identified. For each person the following should be 
included, as applicable:
    (a) The roles and responsibilities of each PI/PD should be clearly 
described;
    (b) An estimate of the time commitment involved for each PI/PD, 
including current and pending projects; and
    (c) Vitae of each PI/PD, senior associate, and other professional 
personnel. This section should include vitae of all key persons who are 
expected to work on the project, whether or not CSREES funds are sought 
for their support. The vitae should be limited to two (2) pages each in 
length, excluding publications listings. A chronological list of all 
publications in refereed journals during the past four (4) years, 
including those in press, must be provided for each professional 
project member for whom a curriculum vitae is provided. Also list only 
those non-refereed publications that have relevance to the proposed 
project. All authors should be listed in the same order as they appear 
on each paper cited, along with the title and complete reference as 
these usually appear in journals.
12. Conflict-of-Interest-List
    A Conflict-of-Interest List must be provided for all individuals 
involved in the project (identified as key personnel). Each list should 
be on a separate page and include alphabetically the full names of the 
individuals in the following categories: (a) All collaborators on 
projects within the past four years, including pending and planned 
collaborations; (b) all co-authors on publications within the past four 
years, including pending publications and submissions; (c) all persons 
in your field with whom you have had a consulting or financial 
arrangement within the past four years who stand to gain by seeing the 
project funded; and (d) all thesis or postdoctoral advisees/advisors 
within the past four years (some may wish to call these life-time 
conflicts). This form is necessary to assist program staff in excluding 
from proposal review those individuals who have conflicts-of-interest 
with the personnel in the grant proposal. The Program Director must be 
informed of any additional conflicts-of-interest that arise after the 
proposal is submitted.
13. Budget
    Prepare the budget, Form CSREES-55, in accordance with instructions 
provided. Budgets of up to a total of $2 million over four years may be 
requested. A budget form is required for each year of requested 
support. In addition, a cumulative budget is required detailing the 
requested total support for the overall project period. The budget form 
may be reproduced as needed by applicants. Funds may be requested under 
any of the categories listed on the form, provided that the item or 
service for which support is requested is allowable under the 
authorizing legislation, the applicable Federal cost principles, and 
these program guidelines, and can be justified as necessary for the 
successful conduct of the proposed project. Applicants must also 
include a Budget Narrative to justify their budgets (see paragraph 12 
below.)
    The following guidelines should be used in developing your proposal 
budget(s):
    a. 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/NSF-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.
    b. Fringe Benefits. Funds may be requested for fringe benefit costs 
if the usual accounting practices of your organization provide that 
organizational 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.
    c. 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 lower,

[[Page 16368]]

depending on institutional policy) or more per unit. As such, items of 
necessary instrumentation or other nonexpendable equipment should be 
listed individually by description and estimated cost in the Budget 
Narrative. This applies to revised budgets as well, as the equipment 
item(s) and amount(s) may change.
    d. Materials and Supplies. The types of expendable materials, 
supplies, and data which are required to carry out the project should 
be indicated in general terms with estimated costs in the Budget 
Narrative.
    e. Travel. The type and extent of travel and its relationship to 
project objectives should be described briefly and justified. If travel 
is proposed, the destination, the specific purpose of the travel, a 
brief itinerary, inclusive dates of travel, and estimated cost must be 
provided for each trip. Airfare allowances normally will not exceed 
round-trip jet economy air accommodations. U.S. flag carriers must be 
used when available. See 7 CFR 3015.205(b)(4) for further guidance. 
Please note that grantees are expected to present their project plan 
and progress at the International Plant, Animal and Microbial Genome 
Meetings held annually in San Diego, California and should allocate an 
appropriate amount in this budget category to fund a trip. Additional 
information on this meeting will be made available if an award is made.
    f. Publication Costs/Page Charges. Include anticipated costs 
associated with publications in a journal (preparing and publishing 
results including page charges, necessary illustrations, and the cost 
of a reasonable number of coverless reprints) and audio-visual 
materials that will be produced. Photocopying and printing brochure, 
etc., should be shown in Section I., ``All Other Direct Costs'' of Form 
CSREES-55.
    g. 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.
    h. All Other Direct Costs. Anticipated direct project charges not 
included in other budget categories must be itemized with estimated 
costs and justified in the Budget Narrative. This also applies to 
revised budgets, as the item(s) and dollar amount(s) may change. 
Examples may include space rental at remote locations, subcontractual 
costs, and charges for consulting services, telephone, facsimile, 
shipping costs, and fees necessary for 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. Form AD-1048 must be completed by each subcontractor 
or consultant and retained by the grantee.
    i. Indirect Costs. When submitting a proposal, institutions should 
use their current Federal negotiated rate for indirect costs. Please 
note that indirect costs for all competitive proposals funded by CSREES 
are capped at 19% of total Federal funds provided under the award by 
section 1462 of the National Agricultural Research, Extension, and 
Teaching Policy Act of 1977 (7 U.S.C. 3310). Therefore, awards made by 
CSREES for the Microbial Genome Sequencing Project are subject to 19 
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.) A method for 
calculating the maximum allowable amount of indirect costs for an USDA 
award is by multipling total direct costs by 0.23456. To accommodate 
the differences in allowable indirect costs between USDA and NSF, the 
applicant may be required at the time of award to submit a separate 
budget with indirect cost rates appropriate to each agency.
14. Budget Narrative
    A budget narrative should be included which discusses how the 
budget specifically supports the proposed project activities. Except 
for indirect costs for which support is requested, the budget narrative 
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.
15. Matching Funds
    If an applicant concludes that matching funds are not required as 
specified in Part I., a justification should be included in the Budget 
Narrative. CSREES will consider this justification when ascertaining 
final matching requirements. CSREES retain the right to make final 
determinations regarding matching requirements. For those grants 
requiring matching funds as specified in Part I., proposals should 
include written verification of commitments of matching support 
(including both cash and in-kind contributions) from third parties. 
Written verification means:
    (a) For any third party cash contributions, a separate pledge 
agreement for each donation, signed by the authorized organizational 
representatives of the donor organization and the applicant 
organization, which must include: (1) The name, address, and telephone 
number of the donor; (2) the name of the applicant organization; (3) 
the title of the project for which the donation is made; (4) the dollar 
amount of the cash donation; and (5) a statement that the donor will 
pay the cash contribution during the grant period; and
    (b) For any third party in-kind contributions, a separate pledge 
agreement for each contribution, signed by the authorized 
organizational representatives of the donor organization and the 
applicant organization, which must include: (1) The name, address, and 
telephone number of the donor; (2) the name of the applicant 
organization; (3) the title of the project for which the donation is 
made; (4) a good faith estimate of the current fair market value of the 
third party in-kind contribution; and (5) a statement that the donor 
will make the contribution during the grant period.
    The sources and amount of all matching support from outside the 
applicant institution should be summarized on a separate page and 
placed in the proposal immediately following the Budget Narrative. All 
pledge agreements must be placed in the proposal immediately following 
the summary of matching support.
    The value of applicant contributions to the project shall be 
established in accordance with applicable cost principles. Applicants 
should refer to OMB Circulars A-21, Cost Principles for Educational 
Institutions, A-87, Cost Principles for State, Local, and Tribal 
Governments, A-122, Cost Principles for Non-Profit Organizations, and 
for for-profit organizations, the cost principles in the Federal 
Acquisition Regulation at 48 CFR 31.2 (see 7 CFR 3015.194).
16. 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

[[Page 16369]]

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. Note that the project being proposed should 
be included in the pending section of the form.
17. Assurance Statements (Form CSREES-662)
    A number of situations encountered in the conduct of projects 
require special assurances, supporting documentation, etc., before 
funding can be approved for the project. In addition to any other 
situation that may exist with regard to a particular project, it is 
expected that some applications submitted in response to these 
guidelines will involve the following:
    a. Recombinant DNA or RNA Research. As stated in 7 CFR 3015.205 
(b)(3), all key personnel identified in the proposal and all endorsing 
officials of the proposing organization are required to comply with the 
guidelines established by the National Institutes of Health entitled, 
``Guidelines for Research Involving Recombinant DNA Molecules,'' as 
revised. If your project proposes to use recombinant DNA or RNA 
techniques, you must so indicate by checking the ``yes'' box in Block 
19 of Form CSREES-661 (the Cover Page) and by completing Section A of 
Form CSREES-662. For applicable proposals recommended for funding, 
Institutional Biosafety Committee approval is required before CSREES or 
NSF funds will be released.
    b. Animal Care--Responsibility for the humane care and treatment of 
live vertebrate animals used in any grant project supported with funds 
provided by CSREES or NSF rests with the performing organization. Where 
a project involves the use of living vertebrate animals for 
experimental purposes, all key project personnel identified in a 
proposal and all endorsing officials of the proposing organization are 
required to comply with the applicable provisions of the Animal Welfare 
Act of 1966, as amended (7 U.S.C. 2131 et seq.) and the regulations 
promulgated thereunder by the Secretary in 9 CFR parts 1, 2, 3, and 4 
pertaining to the care, handling, and treatment of these animals. If 
your project will involve these animals, you should check ``yes'' on 
block 20 of 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.
    c. Protection of Human Subjects--Responsibility for safeguarding 
the rights and welfare of human subjects used in any grant project 
supported with funds provided by CSREES or NSF rests with the 
performing organization. Guidance on this issue is contained in the 
National Research Act, Pub. L. No. 93-348, as amended, and implementing 
regulations promulgated by the Department under 7 CFR part 1c. If you 
propose to use human subjects 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.
18. Certifications
    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.
19. National Environmental Policy Act Exclusions Form (Form CSREES-
1234)
    As outlined in 7 CFR part 3407 (the Cooperative State Research, 
Education, and Extension Service regulations implementation of the 
National Environmental Policy Act of 1969 (NEPA), and 45 CFR part 640 
(the NSF regulations regarding compliance with NEPA) the environmental 
data for any proposed project is to be provided to CSREES and NASA so 
that the Federal agency may determine whether any further action is 
needed. In some cases, however, the prepartion of environmental data 
may not be required. Certain categories of actions are excluded from 
the requirements of NEPA.
    In order for CSREES to determine whether any further action is 
needed with respect to NEPA (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, Form CSREES-1234, ``NEPA Exclusions 
Form,'' must be included in the proposal indicating whether the 
applicant is of the opinion that the project falls within a categorical 
exclusion and the reasons therefore. If it is the applicant's opinion 
that the proposed project falls within the categorical exclusions, the 
specific exclusion must be identified. Form CSREES-1234 and the 
supporting documentation should be included as the last page of this 
proposal.
    Even though a project may fall within the categorical exclusions, 
CSREES may determine that an EA or EIS is necessary for an activity, if 
substantial controversy on the environmental grounds exists or if other 
extraordinary conditions or circumstances are present which may cause 
such activity ot have a significant environmental effect.

C. Application Submission Information

1. When To Submit (Deadline Date)
    ``Letters of Intent'' must be received by COB on April 13, 2001 
(5:00 p.m. EST). Proposals must be received by COB on May 4, 2001 (5:00 
p.m. EST). Proposals received after this date will not be considered 
for funding.
2. What to Submit
    For full proposals, an original and 14 copies must be submitted. 
Also submit 10 copies of the proposal's Project Summary. All copies of 
the proposals and the Project Summaries must be submitted in one 
package.
3. Where To Submit
    Applicants should e-mail the ``Letter of Intent'' to Dr. Ann 
Lichens-Park at [email protected] or send the letter by mail to the 
Microbial Sequencing Project; Mail Stop 2241; Cooperative State 
Research, Education and Extension Service, U.S. Department of 
Agriculture, 1400 Independence Avenue, SW., Washington, DC 20250-2241; 
or fax the letter at (202) 401-6488.

[[Page 16370]]

    Applicants are strongly encouraged to submit completed proposals 
via overnight mail or delivery service to ensure timely receipt by the 
USDA. The address for hand-delivered proposals or proposals submitted 
using an express mail or overnight courier service is: Microbial 
Sequencing Project, c/o Proposal Services Unit, Cooperative State 
Research, Education, and Extension Service, U.S. Department of 
Agriculture, Room 1307, Waterfront Centre, 800 9th Street, SW., 
Washington, DC 20024.
    Proposals sent via the U.S. Postal Service must be sent to the 
following address: Microbial Sequencing Project, c/o Proposal Services 
Unit, Cooperative State Research, Education, and Extension Service, 
U.S. Department of Agriculture, STOP 2241, 1400 Independence Avenue, 
SW., Washington, DC 20250-2241.

D. Acknowledgment of Proposals

    The receipt of proposals will be acknowledged by e-mail. Therefore, 
applicants are encouraged to provide e-mail addresses, where 
designated, on the Form CSREES-661. If the applicant's e-mail address 
is not indicated, CSREES will acknowledge receipt of the proposal by 
letter.
    Once the proposal has been assigned an identification number, 
please cite that number on all future correspondence. If the applicant 
does not receive an acknowledgment within 60 days of the submission 
deadline, please contact the Program Director.

Part IV--Review Process

A. General

    All proposals, will be reviewed together by a panel in the 
pertinent program area. Prior to technical examination, a preliminary 
review will be made for responsiveness to the program area. Proposals 
that do not fall within the guidelines of this Program will be 
eliminated from Program competition and will be returned to the 
applicant.
    Individual written comments and in-depth discussions will be 
provided by a peer review panel prior to recommending applications for 
funding. Peer review panel members will be selected based upon their 
training and experience in relevant scientific, extension, or education 
fields taking into account the following factors: (a) The level of 
formal scientific, technical education, and extension experience of the 
individual, as well as the extent to which an individual is engaged in 
relevant research, education or extension activities; (b) the need to 
include as peer reviewers experts from various areas of specialization 
within relevant scientific, education, and extension fields; (c) the 
need to include as reviewers other experts (producers, range or 
resource managers/operators, consumers, etc.) who can assess relevance 
of the proposals to targeted audiences and to program needs; (d) the 
need to include as peer reviewers experts from a variety of 
organizational types (e.g., colleges, universities, industry, state and 
Federal agencies, private profit and non-profit organizations), and 
geographic locations; (e) the need to maintain a balanced composition 
of peer review groups with regard to minority and female representation 
and an equitable age distribution; and (f) the need to include members 
that can judge the effective usefulness to producers and the general 
public of each proposal.

B. Evaluation Factors

    The following evaluation factors will be used in reviewing 
applications:
1. Relevance of the Microorganism(s) To Be Sequenced and the Scientific 
Merit of the Project
    This criterion addresses the scientific and/or practical importance 
of the microorganism chosen for sequencing, 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.
2. The Broader Impact of the Activity on the Biological Sciences and 
Agriculture, Including Education, Training, and Outreach
    This criterion addresses the potential of 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 the likelihood of 
national impact and widespread, appropriate dissemination and use of 
results in strengthening the biological sciences and agriculture of 
this nation.
    Priority also will be given to projects that integrate education 
and outreach and those that establish close collaboration among 
multiple investigators, institutions, and end users.
3. Performance Competence
    This criterion addresses the technical merit of the proposed 
approach, the capabilities of the proposed personnel, including those 
of the Principal 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 microbial genome sequence(s).
4. 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.
5. Scientific Collaboration and Information Sharing
    Sequencing of the genome of an organism is a community activity. As 
such, a close collaboration among the scientists and organizations 
involved in sequencing activities and effective dissemination to the 
potential users of the information are important components of this 
criterion.
6. Appropriateness of the Proposed Budget

Part V--Award Administration

    The U.S. Microbial Sequencing Project will be administered and 
managed as an interagency program involving both participating agencies 
throughout the entire process from the development of the program 
announcement to the review, selection and monitoring of awards. The 
interagency program managers will coordinate program administration 
activities such as review of periodic reporting of project evaluations 
and annual investigator team meetings.
    USDA and NSF will fund awards separately. The amount of each award 
will be determined jointly by USDA and NSF and their representatives 
after the panel review process has been completed. Other material may 
be required prior to funding to facilitate the implementation of the 
award from participating agencies.

A. 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

[[Page 16371]]

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.

B. Organizational Management Information

    Specific management information relating to an applicant shall be 
submitted on a one-time basis as part of the responsibility 
determination prior to the award 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.

C. Award Document

    The USDA award document shall include at a minimum the following:
    1. Legal name and address of performing organization or institution 
to whom the funding agency has awarded an award under this program;
    2. Title of Project;
    3. Name(s) and address(es) of principal investigator(s) chosen to 
direct and control approved activities;
    4. Award identification number assigned by the funding agency;
    5. Project period, specifying the amount of time the funding agency 
intends to support the project without requiring recompetition for 
funds;
    6. Total award amount approved by the funding agency during the 
project period;
    7. Legal authority(ies) under which the award is made;
    8. Approved budget plan for categorizing project funds to 
accomplish the stated purpose of the award; and
    9. 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.
    An NSF award consists of: (1) The award letter, which includes any 
special provisions applicable to the award and any numbered amendments 
thereto; (2) the budget, which indicates the amounts, by categories of 
expense, on which NSF has based its support (or otherwise communicates 
any specific approvals or disapprovals of proposed expenditures); (3) 
the proposed referenced in the award letter; (4) the applicable award 
conditions, such as Grant General Conditions (NSF-GC-1) or Federal 
Demonstration Partnership (FDP) Terms and Conditions and (5) any 
announcement or other NSF issuance that may be incorporated by 
reference in the award letter. Cooperative agreement awards also are 
administered in accordance with NSF Cooperative Agreement Terms and 
Condition (CA-1). Electonic mail notification is the preferred way to 
transmit NSF awards to organizations that have electronic mail 
capabilities and have requested such notification from the Divison of 
Grants and Agreements.

D. 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.

E. Funding Mechanisms

    The two mechanisms by which new, renewal, and supplemental grants 
may be awarded are as follows:
    (1) Standard grant. This is a funding mechanism whereby the Federal 
Government agrees to support a specified level of effort for a 
predetermined time period without the announced intention of providing 
additional support at a future date.
    (2) Continuation grant. This is a funding mechanism whereby the 
Federal Government agrees to support a specified level of effort for a 
predetermined period of time with a statement of intention to provide 
additional support at a future date, provided that performance has been 
satisfactory, appropriations are available for this purpose, and 
continued support will be in the best interests of the Federal 
government and the public. This kind of mechanism normally will be 
awarded for an initial one-year period, and any subsequent continuation 
project grants will be awarded in one-year increments. The award of a 
continuation project grant to fund an initial or succeeding budget 
period does not constitute an obligation to fund any subsequent budget 
period. Unless prescribed otherwise by CSREES or NSF, a grantee must 
submit a separate application for continued support for each subsequent 
fiscal year. Requests for such continued support must be submitted in 
duplicate at least three months prior to the expiration date of the 
budget period currently being funded. Decisions regarding continued 
support and the actual funding levels of such support in future years 
usually will be made administratively after consideration of such 
factors as the grantee's progress and management practices and the 
availability of funds. Since initial peer reviews are based upon the 
full term and scope of the original application, additional evaluations 
of this type generally are not required prior to successive years' 
support. However, in unusual cases (e.g., when the nature of the 
project or key personnel change or when the amount of future support 
requested substantially exceeds the grant application originally 
reviewed and approved), additional reviews may be required prior to 
approving continued funding.

F. 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 USDA Authorized 
Departmental Officer (ADO) or NSF Grants Officer for a final 
determination.
    b. Changes in approved goals, or objectives, shall be requested by 
the awardee and approved in writing by the ADO or NSF Grants Officer 
prior to effecting such changes. In no event shall requests for such 
changes be approved which are outside the scope of the original 
approved project.
    c. Changes in approved project leadership or the replacement or 
reassignment of other key project personnel shall be requested by the 
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

[[Page 16372]]

in writing by the ADO or NSF Grants Officer 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 or NSF Grants Officer determines may be 
necessary to complete or fulfill the purposes of an approved project. 
Any extension of time shall be conditioned upon prior request by the 
awardee and approval in writing by the ADO or NSF Grants Officer, 
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 or NSF 
Grants Officer prior to instituting such changes if the revision will 
involve transfers or expenditures of amounts requiring prior approval 
as set forth in the applicable Federal costs principles, Agency 
regulations, or in the award document.

G. Applicable Regulations

    Several other Federal statutes and regulations apply to proposals 
considered for review and to projects awarded under this program. For 
CSREES awards, applicable regulations are those cited in part V. E. of 
the IFAFS RFP published in the Federal Register on February 23, 2001, 
66 FR 11507]. For NSF awards, the applicable regulations are cited in 
the section entitled REGULATION, GUIDELINES, AND LITERATURE in the 
Catalog of Federal Domestic Assistance under 46.074: Biological 
Sciences.
    For specific information on policies and procedures pertaining to 
the award and administration of NSF grants and cooperative agreements, 
refer to the NSF Grant Policy Manual which can be found at

http://www.nsf.gov/bfa/cpo/policy/grants.htm.

H. Additional Information

    In the view of some, raw genomic sequences, in the absence of 
additional demonstrated biological information, lack demonstrated 
utility and therefore are inappropriate for patent filing. Patent 
applications on large blocks of primary genomic sequence could stifle 
future research and the development of future inventions of useful 
products. However, according to the Bayh-Dole Act, the grantees have 
the right to elect to retain title to subject inventions and are free 
to choose to apply for patents should additional biological experiments 
reveal convincing evidence of utility. CSREES and NSF grantees are 
reminded that the grantee institutions is required to disclose each 
subject invention to the Federal government within two months after the 
inventor discloses it in writing to grantee institution personnel 
responsible for patent matters. Where appropriate, a plan for 
apportionment of rights to intellectual property with international 
partners should be provided.
    Investigators are expected to explain clearly how the ownership of 
information and research materials and their public release will be 
handled. Rapid and unrestricted sharing of genomic sequence data is 
essential for advancing research on agriculturally and environmentally 
important species. Early release of unfinished sequence has already 
proven useful in accelerating the pace of experimental discovery in 
non-agricultural fields, such as human health, energy production and 
bioremediation. At the same time, CSREES and NSF recognize that it also 
is necessary to allow investigators time to verify the accuracy of 
their data and to accomplish the goals proposed in their application, 
which often includes the assembly and annotation of the sequence data.

I. 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 CSREES or NSF Director 
determines to be of a confidential, privileged, or proprietary nature 
will be held in confidence to the extent permitted by law. Therefore, 
any information that the applicant wishes to have considered as 
confidential, privileged, or proprietary should be clearly marked 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.

    Done at Washington, D.C., on this 20th day of March 2001.
Colien Hefferan,
Administrator, Cooperative State Research, Education, and Extension 
Service
Mary E. Clutter,
Assistant Director for Biological Sciences, National Science 
Foundation.
[FR Doc. 01-7265 Filed 3-22-01; 8:45 am]
BILLING CODE 3410-22-P