[Federal Register Volume 66, Number 237 (Monday, December 10, 2001)]
[Notices]
[Pages 63878-63885]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-30394]



[[Page 63877]]

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Part IV





Department of Agriculture





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Cooperative State Research, Education, and Extension Service



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Special Research Grants Program, Potato Research: Request for 
Applications and Request for Input; Notice

  Federal Register / Vol. 66, No. 237 / Monday, December 10, 2001 / 
Notices  

[[Page 63878]]


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DEPARTMENT OF AGRICULTURE

Cooperative State Research, Education, and Extension Service


Special Research Grants Program, Potato Research: Request for 
Applications and Request for Input

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

ACTION: Notice of Request for Applications 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 
applications for the Special Research Grants Program, Potato Research 
(Potato Research) for fiscal year (FY) 2002 to facilitate or expand 
ongoing State-Federal food and agricultural research programs. The 
amount available for support of this program in FY 2002 will be 
approximately between $1,447,000 and $1,600,000.
    This notice identifies the objectives for Potato Research projects, 
the eligibility criteria for projects and applicants, and the 
application forms and associated instructions needed to apply for a 
Potato Research grant.
    By this notice, CSREES additionally requests stakeholder input from 
any interested party for use in the development of the next Request for 
Applications (RFA) for this program.

DATES: Applications must be received by close of business (COB) on 
January 21, 2002 (5:00 p.m. Eastern Time). Applications received after 
this deadline will not be considered for funding. Comments regarding 
this RFA are requested within six months from the issuance of this 
notice. Comments received after that date will be considered to the 
extent practicable.

ADDRESSES: The address for hand-delivered applications or applications 
submitted using an express mail or overnight courier service is: 
Special Research Grants Program, Potato Research; 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; Telephone: (202)401-5048.
    Applications sent via the U.S. Postal Service must be sent to the 
following address: Special Research Grants Program, Potato Research; 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 stakeholder comments should be submitted by mail to: Policy 
and Program Liaison Staff; Office of Extramural Programs; USDA-CSREES; 
STOP 2299; 1400 Independence Avenue, SW.; Washington, DC 20250-2299; or 
via e-mail to: [email protected]. (This e-mail address is intended 
only for receiving comments regarding this RFA and not requesting 
information or forms.) In your comments, please state that you are 
responding to the Special Research Grants Program, Potato Research RFA.

FOR FURTHER INFORMATION: Applicants and other interested parties are 
encouraged to contact Ann Marie Thro; telephone: 202-401-6702; fax: 
202-401-4888; email: [email protected].

SUPPLEMENTARY INFORMATION:

Catalog of Federal Domestic Assistance

    This program is listed in the Catalog of Federal Domestic 
Assistance under number 10.200.

Stakeholder Input

    CSREES is requesting comments regarding this RFA from any 
interested party. These comments will be considered in the development 
of the next RFA for the program. Such comments will be used to meet 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 RFA from persons who conduct or use agricultural research, 
education and extension for use in formulating future RFA's for 
competitive programs. Comments should be submitted as provided for in 
the ADDRESSES and DATES portions of this Notice.

Table of Contents

Part I--General Information
    A. Legislative Authority and Background
    B. Purpose, Priorities, and Fund Availability
    C. Definitions
    D. Eligibility
    E. Indirect Costs
    F. Matching Requirements
    G. Funding Restrictions
    H. Types of Applications
Part II--Program Description
    A. Project Types
    B. Applicant Peer Review Requirements
Part III--Preparation of an Application
    A. Program Application Materials
    B. Content of Applications
    C. Submission of Applications
    D. Acknowledgment of Applications
Part IV--Review Process
    A. General
    B. Evaluation Criteria
    C. Conflicts-of-Interest and Confidentiality
Part V--Grant Awards
    A. General
    B. Organizational Management Information
    C. Grant Award Document and Notice of Grant Award
Part VI--Additional Information
    A. Access to Review Information
    B. Use of Funds; Changes
    C. Expected Program Outputs and Reporting Requirements
    D. Applicable Federal Statutes and Regulations
    E. Confidential Aspects of Applications and Awards
    F. Regulatory Information

A. Legislative Authority and Background

    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. Purpose, Priorities, and Fund Availability

    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.
    There is no commitment by USDA to fund any particular application 
or to make a specific number of awards. Approximately between 
$1,447,000 and

[[Page 63879]]

$1,600,000 will be available to fund applications in FY 2002.

C. Definitions

    For the purpose of this program, the following definitions are 
applicable:
    Administrator means the Administrator of the Cooperative State 
Research, Education, and Extension Service (CSREES) and any other 
officer or employee of the Department to whom the authority involved 
may be delegated.
    Authorized departmental officer (ADO) means the Secretary or any 
employee of the Department with delegated authority to issue or modify 
grant instruments on behalf of the Secretary.
    Authorized organizational representative (AOR) means the president, 
or chief executive officer of the applicant organization or the 
official, designated by the president or chief executive officer of the 
applicant organization, who has the authority to commit the resources 
of the organization.
    Budget period means the interval of time (usually 12 months) into 
which the project period is divided for budgetary and reporting 
purposes.
    Department or USDA means the United States Department of 
Agriculture.
    Grantee means the organizaton designated in the grant award 
document as the responsible legal entity to which a grant is awarded.
    Peer review is an evaluation of a proposed project for scientific 
or technical quality and relevance performed by experts with the 
scientific knowledge and technical skills to conduct the proposed work 
or to give expert advice on the merits of a proposal.
    Peer reviewers means experts or consultants qualified by training 
and experience to give expert advice on the scientific and technical 
merit of grant applications or the relevance of those applications to 
one or more of the proposal evaluation criteria. Peer reviewers may be 
ad hoc or convened as a panel.
    Project Director means the single individual designated by the 
grantee in the grant application and approved by the Authorized 
Departmental Officer who is responsible for the direction and 
management of the project (also known as a principal investigator for 
research activities).
    Prior approval means written approval evidencing prior consent by 
an authorized departmental officer.
    Project means the particular activity within the scope of the 
program supported by a grant award.
    Project period means the total length of time as stated in the 
award document and modifications thereto, if any, during which Federal 
sponsorship begins and ends.
    Secretary means the Secretary of Agriculture and any other officer 
or employee of the Department to whom the authority involved is 
delegated.

D. Eligibility

    Applications 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.). Award 
recipients may subcontract to organizations not eligible to apply 
provided such organizations are necessary for the conduct of the 
project.

E. 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.

F. Matching Requirements

    Cost-sharing is not required nor will it be a factor in the 
awarding of any grant.

G. Funding Restrictions

    CSREES has determined that grant funds awarded under this authority 
may not be used for renovation or refurbishment of research, education, 
or extension space; the purchase or installation of fixed equipment in 
such space; or the planning, repair, rehabilitation, acquisition, or 
construction of buildings or facilities.

H. Types of Applications

    In FY 2002, applications may be submitted to the Potato Research 
Program as one of the following three types of requests:
    (1) New application. This is a project application that has not 
been previously submitted to the Potato Research Program. All new 
applications will be reviewed competitively using the selection process 
and evaluation criteria described in Part IV--Review Process.
    (2) Renewal application. This is a project application that 
requests additional funding for a project beyond the period that was 
approved in an original or amended award. Applications for renewed 
funding must contain the same information as required for new 
applications, and additionally must contain a Progress Report (see 
Project Description, Part III.B.6). Renewal applications must be 
received by the relevant due dates, will be evaluated in competition 
with other pending applications in appropriate area to which they are 
assigned, and will be reviewed according to the same evaluation 
criteria as new applications.
    (3) Resubmitted application. This is an application that had 
previously been submitted to the Potato Research Program but not 
funded. Project Directors (PD's) must respond to the previous review 
panel summary (see Response to Previous Review, Part III.B.5). 
Resubmitted applications must be received by the relevant due dates, 
will be evaluated in competition with other pending applications in 
appropriate area to which they are assigned, and will be reviewed 
according to the same evaluation criteria as new applications.

Part II--Program Description

A. Project Types

    Each proposal submitted in FY 2002 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 2002 
awardees would need to recompete in future years for additional 
funding.

B. 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

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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 (Part III. B. 15.). 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--Preparation of an Application

A. Program Application Materials

    Program application materials are available at the CSREES Funding 
Opportunities web site (http://www.reeusda.gov/1700/funding/ourfund.htm). If you do not have access to the web page or have trouble 
downloading material and you would like a hardcopy, 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 the RFA and associated application 
forms for the Special Research Grants Program, Potato Research. These 
materials also may 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 RFA and the 
associated application forms for Special Research Grants Program, 
Potato Research.

B. Content of Applications

1. General
    Use the following guidelines to prepare an application. Proper 
preparation of applications will assist reviewers in evaluating the 
merits of each application in a systematic, consistent fashion:
    (a) Prepare the application 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) Number each page of the application sequentially, starting with 
the Project Description, including the budget pages, required forms, 
and any appendices.
    (c) Staple the application in the upper left-hand corner. Do not 
bind. An original and 18 copies (19 total) must be submitted in one 
package, along with 2 additional copies of the ``Project Summary,'' 
Form CSREES-2003, as a separate attachment.
    (d) Include original illustrations (photographs, color prints, 
etc.) in all copies of the application to prevent loss of meaning 
through poor quality reproduction.
    (e) The contents of the application should be assembled in the 
following order:
    (1) Proposal Cover Page (Form CSREES-2002)
    (2) Table of Contents
    (3) Project Summary (Form CSREES-2003)
    (4) Response to Previous Review
    (5) Project Description
    (6) References
    (7) Appendices to Project Description
    (8) Key Personnel
    (9) Collaborative Arrangements (including Letters of Support)
    (10) Conflict-of-Interest List (Form CSREES-2007)
    (11) Budget (Form CSREES-2004)
    (12) Budget Narrative
    (13) Matching
    (14) Current and Pending Support (Form CSREES-2005)
    (15) Assurance Statement(s) (Form CSREES-2008)
    (16) Compliance with the National Environmental Policy Act (NEPA) 
(Form CSREES-2006)
    (17) Page B, Proposal Cover Page (Form CSREES-2002), Personal Data 
on Project Director
2. Proposal Cover Page (Form CSREES-2002)
a. Page A
    Each copy of each grant application must contain a ``Proposal Cover 
Page'', Form CSREES-2002. One copy of the application, preferably the 
original, must contain the pen-and-ink signature(s) of the proposing 
PD's and the authorized organizational representative (AOR), the 
individual who possesses the necessary authority to commit the 
organization's time and other relevant resources to the project. If 
there are more than four co-PD's for an application, please list 
additional co-PD's on a separate sheet of paper (with appropriate 
information and signatures) and attach to the Proposal Cover Page (Form 
CSREES-2002). Any proposed PD or co-PD whose signature does not appear 
on Form CSREES-2002 or attached additional sheets will not be listed on 
any resulting grant award. Complete both signature blocks located at 
the bottom of the ``Proposal Cover Page'' form. Please note that Form 
CSREES-2002 is comprised of two parts--Page A which is the ``Proposal 
Cover Page'' and Page B which is the ``Personal Data on Project 
Director.''
    Form CSREES-2002 serves as a source document for the CSREES grant 
database; it is therefore important that it be accurately completed in 
its entirety, especially the e-mail addresses requested in blocks 4.c. 
and 18.c. However, the following items are highlighted as having a high 
potential for errors or misinterpretations:
    (a) Type of Performing Organization (Block 6A and 6B).
    For block 6A, a check should be placed in the appropriate box to 
identify the type of organization which is the legal recipient named in 
block 1. Only one box should be checked. For block 6B, please check as 
many boxes that apply to the affiliation of the PD listed in block 16.
    (b) Title of Proposed Project (Block 7). The title of the project 
must be brief (140-character maximum, including spaces), 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.
    (c) Program to Which You Are Applying (Block 8). Enter Special 
Research Grants Program, Potato Research. The reference to Program Area 
(i.e., name of the program component)

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and Number should be ignored in this block.
    (d) Type of Request (Block 14). Check the appropriate box.
    (e) Project Director (PD) (Blocks 16-19). Blocks 16-18 are used to 
identify the PD and Block 19 to identify co-PD's. If needed, additional 
co-PD's may be listed on a separate sheet of paper and attached to Form 
CSREES-2002, the Proposal Cover Page, with the applicable co-PD 
information and signatures. Listing multiple co-PD's, beyond those 
required for genuine collaboration, is discouraged.
    (f) Other Possible Sponsors (Block 21). List the names or acronyms 
of all other public or private sponsors including other agencies within 
USDA to which 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 contact 
as soon as practicable. Submitting your application to other potential 
sponsors will not prejudice its review by CSREES; however, submitting 
the same (i.e., duplicate) application to another CSREES program is not 
permissible.
b. Page B
    Page B should be submitted only with the original signature copy of 
the application and should be placed as the last page of the original 
copy of the application. This page contains personal data on the PD(s). 
CSREES requests this information in order to monitor the operation of 
its review and awards processes. This page will not be duplicated or 
used during the review process. Please note that failure to submit this 
information will in no way affect consideration of your application.
3. Table of Contents
    For consistency and ease in locating information, each application 
must contain a detailed Table of Contents immediately following the 
proposal cover page. The Table of Contents should contain page numbers 
for each component of the application. Page numbering should begin with 
the first page of the Project Description.
4. Project Summary (Form CSREES-2003)
    The application must contain a ``Project Summary,'' Form CSREES-
2003. The summary should be approximately 250 words, contained within 
the box, placed immediately after the Table of Contents, and not 
numbered. The names and affiliated organizations of all PD's and co-
PD's should be listed on this form, in addition to the title of the 
project. The 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 Potato Research 
Program. The importance of a concise, informative Project Summary 
cannot be overemphasized. If there are more than four co-PD's for an 
application, please list additional co-PD's on a separate sheet of 
paper (with appropriate information) and attach to the Project Summary 
(Form CSREES-2003).
5. Response to Previous Review
    This requirement only applies to ``Resubmitted Applications'' as 
described under Part I, H, ``Types of Applications.'' Project Directors 
(PD's) must respond to the previous review panel summary on no more 
than one page, titled ``RESPONSE TO PREVIOUS REVIEW,'' which is to be 
placed directly after the ``Project Summary,'' Form CSREES-2003.
6. Project Description
    Please Note: The Project Description shall not exceed 20 pages of 
written text and up to five additional pages for figures and tables. 
This maximum (25 pages) has been established to ensure fair and 
equitable competition. The Project Description must include all of the 
following:
    a. Introduction: A clear statement of the long-term goal(s) and 
supporting objectives of the proposed activities should be included. 
Summarize the body of knowledge or other past activities which 
substantiate the need for the proposed project. Describe ongoing or 
recently completed significant activities related to the proposed 
project including the work of key project personnel. Preliminary data/
information pertinent to the proposed project should be included. In 
addition, this section should include in-depth information on the 
following, when applicable:
    (1) Estimates of the magnitude of the issues and their relevance to 
stakeholders and to ongoing State-Federal food and agricultural 
research.
    (2) Role of the stakeholders in problem identification, planning, 
and implementation and evaluation as appropriate.
    (3) Reasons for having the work performed at the proposing 
institution.
    b. Objectives: Clear, concise, complete, and logically arranged 
statement(s) of specific aims of the proposed effort must be included 
in all proposals.
    c. Methods: 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 stakeholder involvement in problem 
identification, planning, implementation and evaluation;
    (2) A description of the proposed project activities in the 
sequence in which it is planned to carry them out;
    (3) Techniques to be employed, including their feasibility and 
rationale for their use in this project;
    (4) Kinds of results expected;
    (5) Means by which data will be analyzed or interpreted;
    (6) Pitfalls that might be encountered; and
    (7) Limitations to proposed procedures.
    d. Cooperation and Institutional Units Involved: Cooperative, 
multi-institutional and multi-disciplinary applications are encouraged. 
Identify each institutional unit contributing to the project and 
designate the lead institution or institutional unit. 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 partner of the project team.
    e. 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. All items of major equipment 
or instrumentation available for use or assignment to the proposed 
project should be itemized. In addition, items of nonexpendable 
equipment needed to conduct and bring the project to a successful 
conclusion should be listed, including dollar amounts and, if funds are 
requested for their acquisition, justified.
    f. 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.
    g. Renewal Applications: 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

[[Page 63882]]

analysis and explanation of cost overruns or unexpectedly high unit 
costs.
    The progress report should be placed immediately after the 
``Project Summary''.
7. References
    All references to works cited should be complete, including titles 
and all co-authors, and should conform to an acceptable journal format. 
References are not considered in the page-limitation for the Project 
Description.
8. Appendices to Project Description
    Appendices to the Project Description are allowed if they are 
directly germane to the proposed project. The addition of appendices 
should not be used to circumvent the text and/or figures and tables 
page limitations.
9. Key Personnel
    The following should be included, as applicable:
    (a) The roles and responsibilities of each PD and/or collaborator 
should be clearly described; and
    (b) Vitae of the PD and each co-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. The vitae 
should include a presentation of academic and research credentials, as 
applicable, e.g., earned degrees, teaching experience, employment 
history, professional activities, honors and awards, and grants 
received. A chronological list of all publications in refereed journals 
during the past four (4) years, including those in press, must be 
provided for each project member for whom a curriculum vitae is 
provided. Also list only those non-refereed technical 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.
10. Collaborative Arrangements
    If it will be necessary to enter into formal consulting or 
collaborative arrangements with others, such arrangements should be 
fully explained and justified. If the consultant(s) or collaborator(s) 
are known at the time of application, a vitae or resume should be 
provided. In addition, evidence (e.g., letter of support) should be 
provided that the collaborators involved have agreed to render these 
services. The applicant also will be required to provide additional 
information on consultants and collaborators in the budget portion of 
the application. See instructions in the application forms for 
completing Form CSREES-2004, Budget.
11. Conflict-of-Interest List (Form CSREES-2007)
    A ``Conflict-of-Interest List,'' Form CSREES-2007, must be provided 
for all individuals who have submitted a vitae in response to item 
9.(b) of this part. Each Form CSREES-2007 should list alphabetically, 
by the last names, the full names of the individuals in the following 
categories: (a) All co-authors on publications within the past four 
years, including pending publications and submissions; (b) all 
collaborators on projects within the past four years, including current 
and planned collaborations; (c) all thesis or postdoctoral advisees/
advisors within the past four years; and (d) 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. This 
form is necessary to assist program staff in excluding from application 
review those individuals who have conflicts of interest with the 
personnel in the grant application. The program contact must be 
informed of any additional conflicts of interest that arise after the 
application is submitted.
12. Budget (Form CSREES-2004)
a. General
    Prepare the Budget, Form CSREES-2004, in accordance with 
instructions provided with the application forms. 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 statutes, regulations, and Federal cost principles, and 
these program guidelines, and can be justified as necessary for the 
successful conduct of the proposed project. Applicants also must 
include a budget narrative to justify their budget requests (see 
section b. below.)
b. Budget Narrative
    All budget categories, with the exception of Indirect Costs, for 
which support is requested, must be individually listed (with costs) in 
the same order as the budget and justified on a separate sheet of paper 
and placed immediately behind the Budget form.
13. Current and Pending Support (Form CSREES-2005)
    All applications must contain Form CSREES-2005 listing other 
current public or private support (including in-house support) to which 
personnel (i.e., individuals submitting a vitae in response to item 
9.(b) of this part) identified in the application have committed 
portions of their time, whether or not salary support for person(s) 
involved is included in the budget. Please follow the instructions 
provided on this form. Concurrent submission of identical or similar 
applications to the possible sponsors will not prejudice application 
review or evaluation by the CSREES. However, an application that 
duplicates or overlaps substantially with an application already 
reviewed and funded (or to be funded) by another organization or agency 
will not be funded under this program. Please note that the project 
being proposed should be included in the pending section of the form.
14. Assurance Statement(s) (Form CSREES-2008)
    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, 
applications involving any of the following elements must comply with 
the additional requirements as applicable.
a. Recombinant DNA or RNA Research
    As stated in 7 CFR part 3015.205(b)(3), all key personnel 
identified in the application 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 20 of Form CSREES-2002 
(the Proposal Cover Page) and by completing Section A of Form CSREES-
2008. For applicable applications recommended for funding, 
Institutional Biosafety Committee approval is required before CSREES 
funds will be released. Please refer to the application forms for 
further instructions.

[[Page 63883]]

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 rests with the performing organization. Where a project involves 
the use of living vertebrate animals for experimental purposes, all key 
personnel identified in an application 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'' in block 20 of Form CSREES-2002 and complete 
Section B of Form CSREES-2008. 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. Please refer to the application forms for further 
instructions.
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 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 in your 
project, you should check the ``yes'' box in Block 20 of Form CSREES-
2002 and complete Section C of Form CSREES-2008. Please refer to the 
application forms for additional instructions.
15. Certifications
    By signing Form CSREES-2002, 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. A.).
    Note that by signing Form CSREES-2002 the applicant is providing 
the certifications required by 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 the application 
package for informational purposes only. These forms should not be 
submitted with the application since by signing Form CSREES-2002 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, Certification Regarding 
Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower 
Tier Covered Transactions, to the grantee organization for retention in 
their records. This form should not be submitted to USDA.
16. Compliance With the National Environmental Policy Act (NEPA) (Form 
CSREES-2006)
    As outlined in 7 CFR part 3407 (the Cooperative State Research, 
Education, and Extension Service regulations implementing NEPA), the 
environmental data for any proposed project is to be provided to CSREES 
so that CSREES may determine whether any further action is needed. In 
some cases, however, the preparation 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, pertinent information regarding the 
possible environmental impacts of a particular project is necessary; 
therefore, Form CSREES-2006, ``NEPA Exclusions Form,'' must be included 
in the application 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(s) must 
be identified.
    Even though a project may fall within the categorical exclusions, 
CSREES may determine that an Environmental Assessment or an 
Environmental Impact Statement is necessary for an activity, if 
substantial controversy on environmental grounds exists or if other 
extraordinary conditions or circumstances are present which may cause 
such activity to have a significant environmental effect.

C. Submission To Applications

1. When To Submit (Deadline Date)
    Applications must be received by COB on on January 21, 2002 (5:00 
p.m. Eastern Time). Applications received after this deadline will not 
be considered for funding.
2. What To Submit
    An original and 18 copies must be submitted. In addition submit two 
additional copies of the application's Project Summary. All copies of 
the application and the Project Summary must be submitted in one 
package.
3. Where To Submit
    Applicants are strongly encouraged to submit completed applications 
via overnight mail or delivery service to ensure timely receipt by the 
USDA. The address for hand-delivered applications or applications 
submitted using an express mail or overnight courier service is: 
Special Research Grants Program, Potato Research; 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; Telephone: (202) 401-5048.
    Applications sent via the U.S. Postal Service must be sent to the 
following address: Special Research Grants Program, Potato Research; 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.

D. Acknowledgment of Applications

    The receipt of all applications will be acknowledged by e-mail. 
Therefore, applicants are strongly encouraged to provide accurate e-
mail addresses, where designated, on the Form CSREES-2002. If the 
applicant's e-mail address is not indicated, CSREES will acknowledge 
receipt of the application by letter.
    If the applicant does not receive an acknowledgment within 60 days 
of the submission deadline, please contact the program contact. Once 
the application has been assigned an application number, please cite 
that number on all future correspondence.

Part IV--Review Process

A. General

    Each application will be evaluated in a 2-part process. First, each 
application will be screened to ensure that it meets the administrative 
requirements as set forth in this RFA. Second, applications that meet 
these requirements will be technically evaluated by a review panel.
    Reviewers will be selected based upon training and experience in 
relevant scientific, extension, or education fields, taking into 
account the following factors: (a) The level of relevant formal 
scientific, technical education, or extension experience of the 
individual, as well as the extent to which an individual is engaged in 
relevant research, education, or

[[Page 63884]]

extension activities; (b) the need to include as reviewers experts from 
various areas of specialization within relevant scientific, education, 
or extension fields; (c) the need to include as reviewers other experts 
(e.g., producers, range or forest managers/operators, and consumers) 
who can assess relevance of the applications to targeted audiences and 
to program needs; (d) the need to include as 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 reviewers with regard to minority and female 
representation and an equitable age distribution; and (f) the need to 
include reviewers who can judge the effective usefulness to producers 
and the general public of each application.

B. Evaluation Criteria

    The evaluation criteria below will be used in reviewing 
applications submitted in response to this RFA:
I. Relevance
    Relevance and importance of proposed research to specific problems 
or opportunities; value of expected results for States beyond the State 
in which the project leader resides and will perform the work--20 
points.
II. Quality
    Overall scientific and technical quality of the proposal and the 
specific approach proposed--20 points.
III. Feasibility
    Feasibility of attaining objectives; adequacy of training, 
experience, facilities, and equipment--20 points.
IV. Participation
    Proposals that provide evidence of cooperation or involvement of 
multiple institutions or states--5 points.
    Proposals that list more than one state as recipient of funds--10 
points.
    Evidence of stakeholder participation, including growers, in 
developing the project objectives--5 points.
    Stakeholder participation in project implementation or monitoring--
5 points.
V. Co-Funding
    Proposals that provide evidence of funding from identified state, 
regional, or industry sources (e.g., check-off programs)--15 points.

C. Conflicts of Interest and Confidentiality

    During the peer evaluation process, extreme care will be taken to 
prevent any actual or perceived conflicts of interest that may impact 
review or evaluation. For the purpose of determining conflicts of 
interest, the academic and administrative autonomy of an institution 
shall be determined by reference to the 2002 Higher Education 
Directory, published by Higher Education Publications, Inc., 6400 
Arlington Boulevard, Suite 648, Falls Church, Virginia 22042. Phone: 
(703) 532-2300. Web site: http://www.hepinc.com.
    Names of submitting institutions and individuals, as well as 
application content and peer evaluations, will be kept confidential, 
except to those involved in the review process, to the extent permitted 
by law. In addition, the identities of peer reviewers will remain 
confidential throughout the entire review process. Therefore, the names 
of the reviewers will not be released to applicants. At the end of the 
fiscal year, names of panelists will be made available in such a way 
that the panelists cannot be identified with the review of any 
particular application.

Part V--Grant Awards

A. General

    Within the limit of funds available for such purpose, the awarding 
official of CSREES shall make grants to those responsible, eligible 
applicants whose applications are judged most meritorious under the 
procedures set forth in this RFA. The date specified by the awarding 
official of CSREES as the effective date of the grant shall be no later 
than September 30 of the Federal fiscal year in which the project is 
approved for support and funds are appropriated for such purpose, 
unless otherwise permitted by law. It should be noted that the project 
need not be initiated on the grant effective date, but as soon 
thereafter as practical so that project goals may be attained within 
the funded project period. All funds granted by CSREES under this RFA 
shall be expended solely for the purpose for which the funds are 
granted in accordance with the approved application and budget, the 
regulations, 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).

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 of a grant identified under this RFA, 
if such information has not been provided previously under this or 
another CSREES program. CSREES will provide copies of forms recommended 
for use in fulfilling these requirements as part of the preaward 
process. Although an applicant may be eligible based on its status as 
one of these entities, there are factors which may exclude an applicant 
from receiving Federal financial and nonfinancial assistance and 
benefits under this program (e.g., debarment or suspension of an 
individual involved or a determination that an applicant is not 
responsible based on submitted organizational management information).

C. Grant Award Document and Notice of Grant Award

    The grant award document shall include at a minimum the following:
    (1) Legal name and address of performing organization or 
institution to whom the Administrator has awarded a grant under the 
terms of this request for applications;
    (2) Title of project;
    (3) Name(s) and institution(s) of PD's chosen to direct and control 
approved activities;
    (4) Identifying grant number assigned by the Department;
    (5) Project period, specifying the amount of time the Department 
intends to support the project without requiring recompetition for 
funds;
    (6) Total amount of Departmental financial assistance approved by 
the Administrator during the project period;
    (7) Legal authority(ies) under which the grant is awarded;
    (8) Appropriate Catalog of Federal Domestic Assistance (CFDA) 
number;
    (9) Approved budget plan for categorizing allocable project funds 
to accomplish the stated purpose of the grant award; and
    (10) Other information or provisions deemed necessary by CSREES to 
carry out its respective granting activities or to accomplish the 
purpose of a particular grant.
    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.

[[Page 63885]]

Part VI--Additional Information

A. Access to Review Information

    Copies of reviews, not including the identity of reviewers, and a 
summary of the panel comments will be sent to the applicant PD after 
the review process has been completed.

B. Use of Funds; Changes

1. Delegation of Fiscal Responsibility
    Unless the terms and conditions of the grant state otherwise, 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, PD(s), or other key 
project personnel in the approved project grant shall be limited to 
changes in methodology, techniques, or other similar aspects of the 
project to expedite achievement of the project's approved goals. If the 
grantee or the PD(s) is uncertain as to whether a change complies with 
this provision, the question must be referred to the Authorized 
Departmental Officer (ADO) for a final determination. The ADO is the 
signatory of the award document, not the program contact.
    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 ADO prior to effecting such 
changes.
    d. Transfers of actual performance of the substantive programmatic 
work in whole or in part and provisions for payment of funds, whether 
or not Federal funds are involved, shall be requested by the grantee 
and approved in writing by the ADO prior to effecting such transfers, 
unless prescribed otherwise in the terms and conditions of the grant.
    e. Changes in Project Period: The project period may be extended by 
CSREES without additional financial support, for such additional 
period(s) as the ADO determines may be necessary to complete or fulfill 
the purposes of an approved project, but in no case shall the total 
project period exceed five years. Any extension of time shall be 
conditioned upon prior request by the grantee and approval in writing 
by the ADO, unless prescribed otherwise in the terms and conditions of 
a grant.
    f. Changes in Approved Budget: Changes in an approved budget must 
be requested by the grantee and approved in writing by the ADO prior to 
instituting such changes if the revision will involve transfers or 
expenditures of amounts requiring prior approval as set forth in the 
applicable Federal cost principles, Departmental regulations, or grant 
award.

C. Applicable Federal Statutes and Regulations

    Several Federal statutes and regulations apply to grant 
applications considered for review and to project grants awarded under 
this program. These include, but are not limited to:
    7 CFR Part 1.1--USDA implementation of the Freedom of Information 
Act.
    7 CFR Part 3--USDA implementation of OMB Circular No. A-129 
regarding debt collection.
    7 CFR Part 15, subpart A--USDA implementation of Title VI of the 
Civil Rights Act of 1964, as amended.
    7 CFR Part 3015--USDA Uniform Federal Assistance Regulations, 
implementing OMB directives (i.e., OMB 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 Non-profit 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, Rehabilitation Act of 1973) and 7 CFR 
Part 15b (USDA implementation of statute)-- prohibiting discrimination 
based upon physical or mental handicap in Federally assisted programs.
    35 U.S.C. 200 et seq.--Bayh-Dole Act, controlling allocation of 
rights to inventions made by employees of small business firms and 
domestic nonprofit organizations, including universities, in Federally 
assisted programs (implementing regulations are contained in 37 CFR 
part 401).

D. Confidential Aspects of Applications and Awards

    When an application results in a grant, it becomes a part of the 
record of CSREES transactions, available to the public upon specific 
request. Information that the Secretary 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 within the 
application. The original copy of an application that does not result 
in a grant will be retained by the Agency for a period of one year. 
Other copies will be destroyed. Such an application will be released 
only with the consent of the applicant or to the extent required by 
law. An application may be withdrawn at any time prior to the final 
action thereon.

E. Regulatory Information

    For the reasons set forth in the final Rule-related Notice to 7 CFR 
part 3015, subpart V (48 FR 29114, June 24, 1983), this program is 
excluded from the scope of the Executive Order 12372 which requires 
intergovernmental consultation with State and local officials. Under 
the provisions of the Paperwork Reduction Act of 1995 (44 U.S.C. 
chapter 35), the collection of information requirements contained in 
this Notice have been approved under OMB Document No. 0524-0039.

    Done at Washington, DC, this 3rd day of December, 2001.
Colien Hefferan,
Administrator, Cooperative State Research, Education, and Extension 
Service.
[FR Doc. 01-30394 Filed 12-7-01; 8:45 am]
BILLING CODE 3410-22-P