+---------+------------+----------------------------------------------+
| !       | **United   | **APPLICATION\                               |
| [](medi | States**   | FORMS**                                      |
| a/image |            |                                              |
| 1.png){ | **         |                                              |
| width=" | Department |                                              |
| 1.04166 | of**       |                                              |
| 6666666 |            |                                              |
| 6667in" | **Agr      |                                              |
| he      | iculture** |                                              |
| ight="0 |            |                                              |
| .75in"} |            |                                              |
+---------+------------+----------------------------------------------+
| ![](med | C          |                                              |
| ia/imag | ooperative |                                              |
| e2.png) | State      |                                              |
| {width= |            |                                              |
| "1.0in" | Research,  |                                              |
| he      | Education, |                                              |
| ight="0 |            |                                              |
| .916666 | and        |                                              |
| 6666666 | Extension  |                                              |
| 666in"} | Service    |                                              |
+---------+------------+----------------------------------------------+

***PREFACE***

Each applicant seeking an award from the Cooperative State Research,
Education, and Extension Service (CSREES) must submit an application.
This application kit provides the forms, instructions and other
information to be used in applying for awards.

Applications are normally made in response to announcements in the
*Federal Register* or through programmatic contact for special,
competitive and other research, education, and extension awards. The
requirements for the content of applications are contained in the
individual program announcements. Careful adherence to guideline
requirements facilitates the processing and review of proposals.
Therefore, **[CSREES encourages all applicants to read carefully the
specific program announcement to determine eligibility and application
requirements.]{.underline}**

CONTENTS

• Proposal Cover Page Form CSREES-2002

• Project Summary Form CSREES-2003

• Budget Form CSREES-2004

• Current and Pending Support Form CSREES-2005

• National Environmental Policy Act Exclusions Form Form CSREES-2006

• Conflict of Interest List (for competitive programs only) Form
CSREES-2007

• Assurance Statement(s) (for research projects only) Form CSREES-2008

• Certifications. Certifications are accomplished by signing Form
CSREES-2002, Proposal Cover Page. The certification forms are provided
for informational purposes only (do not submit with the proposal.)

1.  Certifications Regarding Drug-Free Workplace Requirements
    (Alternatives I and II)

2.  Debarment or Suspension Requirements (Primary and Lower Tier-Covered
    Transactions)

3.  Notice to Applicants - Certification/Disclosure Requirements Related
    to Lobbying

According to the Paperwork Reduction Act of 1995, no persons are
required to respond to a collection of information unless it displays a
valid OMB control number. The valid OMB control number for this
information collection is 0524-0039. The time required to complete this
information collection is estimated to average 6 hours and 45 minutes
per response, including the time for reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Send comments
regarding this burden estimate and/or any other aspect of this
collection of information, including suggestions for reducing this
burden, to the Department of Agriculture, Office of the Chief
Information Officer, STOP 7602, 1400 Independence Avenue, S.W.,
Washington, D.C. 20250-7602; and to the Office of Information and
Regulatory Affairs, Office of Management and Budget, Washington, D.C.
20503.

<table>
<colgroup>
<col style="width: 21%" />
<col style="width: 14%" />
<col style="width: 2%" />
<col style="width: 8%" />
<col style="width: 3%" />
<col style="width: 4%" />
<col style="width: 4%" />
<col style="width: 9%" />
<col style="width: 1%" />
<col style="width: 6%" />
<col style="width: 0%" />
<col style="width: 1%" />
<col style="width: 4%" />
<col style="width: 16%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="9"><blockquote>
<p>UNITED STATES DEPARTMENT OF AGRICULTURE</p>
<p>COOPERATIVE STATE RESEARCH, EDUCATION, AND EXTENSION SERVICE</p>
<p><strong>PROPOSAL COVER PAGE</strong></p>
</blockquote></td>
<td colspan="5">OMB Approved 0524-0039</td>
</tr>
<tr class="even">
<td colspan="4">1. LEGAL NAME OF ORGANIZATION TO WHICH AWARD SHOULD BE
MADE</td>
<td colspan="10">3. NAME AND TITLE OF AUTHORIZED ORGANIZATIONAL
REPRESENTATIVE (AOR)</td>
</tr>
<tr class="odd">
<td colspan="4" rowspan="3">2. ADDRESS (Give complete mailing address
and Zip Code)</td>
<td colspan="4">4. a. Telephone No.:</td>
<td colspan="5">b. Fax Number:</td>
<td>c. E-mail Address:</td>
</tr>
<tr class="even">
<td colspan="10" rowspan="2">5. ADDRESS OF AOR (If different from Item
2.)</td>
</tr>
<tr class="odd">
</tr>
<tr class="even">
<td colspan="2"><p>6a. TYPE OF PERFORMING ORGANIZATION (Choose 1
only)</p>
<p>01 USDA Agency</p>
<p>02 Other Federal Agency/Department</p>
<p>03 1862 Land-Grant University</p>
<p>04 1890 Land-Grant University (including Tuskegee Univ.)</p>
<p>05 1994 Land-Grant University</p>
<p>06 Private University of College</p>
<p>07 Non-Land-Grant Public University or College</p></td>
<td colspan="5"><p>08 Private For-Profit</p>
<p>09 Private Non-Profit</p>
<p>10 Public Secondary School</p>
<p>11 State, Local or Tribal Government</p>
<p>12 Individual</p>
<p>13 Other</p></td>
<td colspan="7"><p>6b. In addition, PLEASE CHECK ANY OF THE FOLLOWING
THAT APPLY:</p>
<p> Alaska Native-Serving Institution</p>
<p> Cooperative Extension Service</p>
<p> Native Hawaiian-Serving Institution</p>
<p> Hispanic-Serving Institution</p>
<p> Historically Black College or University (other than 1890)</p>
<p> School of Forestry</p>
<p> State Agricultural Experiment Station</p>
<p> Tribal College (other than 1994)</p>
<p> Veterinary School or College</p></td>
</tr>
<tr class="odd">
<td colspan="14">7. TITLE OF PROPOSED PROJECT (140-character maximum,
including spaces)</td>
</tr>
<tr class="even">
<td colspan="6">8. PROGRAM TO WHICH YOU ARE APPLYING (Include Program
Area and Number: Refer to Federal Register announcement or program
solicitation where applicable)</td>
<td colspan="4">9. TAX IDENTIFICATION NO. (TIN)</td>
<td colspan="4">10. CONGRESSIONAL DISTRICT NO.</td>
</tr>
<tr class="odd">
<td colspan="6">11. DUNS NO. (Data Universal Numbering System)</td>
<td colspan="4">12. PROPOSED START DATE</td>
<td colspan="4">13. DURATION REQUESTED (No. of months)</td>
</tr>
<tr class="even">
<td colspan="10"><p>14. TYPE OF REQUEST (Check only one)</p>
<p> New Renewal Supplement Resubmission Resubmitted Renewal</p>
<p> Continuing Increment PD Transfer [PRIOR USDA Award No.
___________________________________]</p></td>
<td colspan="4">15. FEDERAL FUNDS REQUESTED (From Form CSREES-2004)</td>
</tr>
<tr class="odd">
<td colspan="6">16. PROJECT DIRECTOR (PD)</td>
<td colspan="8" rowspan="2">17. PD BUSINESS ADDRESS (INCLUDE
DEPARTMENT/ZIP CODE)</td>
</tr>
<tr class="even">
<td>18. a. PD Phone No.:</td>
<td colspan="2">b. PD Fax No.:</td>
<td colspan="3">c. PD E-mail Address:</td>
</tr>
<tr class="odd">
<td colspan="6">19. CO-PD(s) NAME</td>
<td colspan="6">TELEPHONE NUMBER</td>
<td colspan="2">E-MAIL ADDRESS</td>
</tr>
<tr class="even">
<td colspan="6"></td>
<td colspan="6"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td colspan="6"></td>
<td colspan="6"></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td colspan="6"></td>
<td colspan="6"></td>
<td colspan="2"></td>
</tr>
<tr class="odd">
<td colspan="6"><p>20. IF THIS IS A RESEARCH PROJECT, WILL IT INVOLVE
RECOMBINANT DNA, HUMAN SUBJECTS, OR LIVING VERTEBRATE ANIMALS?</p>
<p> No Yes (If yes, complete Form CSREES-2008)</p></td>
<td colspan="8"><p>21. WILL THIS PROJECT BE SENT OR HAS IT BEEN SENT TO
OTHER FUNDING AGENCIES, INCLUDING OTHER USDA AGENCIES?</p>
<p> No Yes (If yes, list Agency acronym(s) &amp; program(s))</p></td>
</tr>
<tr class="even">
<td colspan="14"><p>By signing and submitting this proposal, the
applicant is providing the required certifications set forth in 7 CFR
Part 3017, as amended, regarding Debarment and Suspension and Drug-Free
Workplace;</p>
<p>and 7 CFR Part 3018 regarding Lobbying. Submission of the individual
forms is not required. (Please read the Certifications included in this
booklet before signing this form.) In addition, the applicant certifies
that the information contained herein is true and complete to the best
of its knowledge and accepts as to any award the obligation to comply
with the terms and conditions of the Cooperative</p>
<p>State Research, Education and Extension Service in effect at the time
of the award.</p></td>
</tr>
<tr class="odd">
<td colspan="11">SIGNATURE OF PROJECT DIRECTOR(S) (All PDs listed in
blocks 16 or 19 must sign if they are to be included in award
documents.)</td>
<td colspan="3">DATE</td>
</tr>
<tr class="even">
<td colspan="11">SIGNATURE OF AUTHORIZED ORGANIZATIONAL REPRESENTATIVE
(Same as Item 3)</td>
<td colspan="3">DATE</td>
</tr>
<tr class="odd">
<td colspan="11">SIGNATURE (OPTIONAL USE)</td>
<td colspan="3">DATE</td>
</tr>
<tr class="even">
<td colspan="14">According to the Paperwork Reduction Act of 1995, an
agency may not conduct or sponsor, and a person is not required to
respond to a collection of information unless it displays a valid OMB
control number. The valid OMB control number for this information
collection is 0524-0039. The time required to complete this information
collection is estimated to average 3.00 hours per response, including
the time for reviewing instructions, searching existing data sources,
gathering and maintaining the data needed, and completing and reviewing
the collection of information.</td>
</tr>
<tr class="odd">
<td colspan="5">Form CSREES-2002 (12/2000)</td>
<td colspan="9">Page A</td>
</tr>
</tbody>
</table>

OMB Approved 0524-0039

**Place this form after the last page of the signed original proposal
only. Do not attach to the copies of the proposal!!!**

**PERSONAL DATA ON**

# PROJECT DIRECTOR

> The Cooperative State Research, Education, and Extension Service
> (CSREES) has a continuing commitment to monitor the operation of its
> review and award processes to detect\--and deal appropriately
> with\--any instances of real or apparent inequities with respect to
> age, sex, race, or ethnicity of the proposed project director.
>
> To provide CSREES with the information it needs for this important
> task, complete the form below and attach it after the last page of the
> signed original of the application. **Do not attach copies of this
> form to the duplicated copies of the application.**
>
> Upon receipt of the application by CSREES, this form will be separated
> from the application. This form will **not** be duplicated, and it
> will **not** be a part of the review process. Data will be
> confidential. CSREES requests Social Security Numbers for accurate
> identification, referral, and for management of CSREES programs.
> Provision of the Social Security Number is voluntary. No individual
> will be denied any right, benefit, or privilege provided by law
> because of refusal to disclose his or her Social Security Number. All
> analyses conducted on the date of birth and race and/or ethnic origin
> data will report aggregate statistical findings only and will not
> identify individuals. CSREES requests the Social Security Number under
> 7 U.S.C. 3318.
>
> If you decline to provide this information, it will in no way affect
> consideration of your application.
>
> Your cooperation will be appreciated.

  -------------------------------------- -------- -------- ----------------
  Project Director/Co-Project            Date of  Gender   Social Security
  Director(s) (Last, First, Middle):     Birth             No.

                                                           

                                                           

                                                           

                                                           

                                                           
  -------------------------------------- -------- -------- ----------------

If additional space is needed for more co-PDs, please attach an
additional sheet.

The following information refers only to the primary Project Director.

+--------------------------------+-------------------------------------+
| Race of PD - Check all that    | Ethnicity of PD *(for statistical   |
| apply *(for statistical        | purposes only).*                    |
| purposes only).*               |                                     |
|                                | Hispanic or Latino                  |
| American Indian or Alaska      |                                     |
| Native                         | Not Hispanic or Latino              |
|                                |                                     |
| Asian                          |                                     |
|                                |                                     |
| Black or African American      |                                     |
|                                |                                     |
| Native Hawaiian or Other       |                                     |
| Pacific Islander               |                                     |
|                                |                                     |
| White                          |                                     |
+--------------------------------+-------------------------------------+
| Check here if you do not wish  |                                     |
| to provide some or all of the  |                                     |
| above information.             |                                     |
+--------------------------------+-------------------------------------+

According to the Paperwork Reduction Act of 1995, an agency may not
conduct or sponsor, and a person is not required to respond to a
collection of information unless it displays a valid OMB control number.
The valid OMB control number for this information collection is
0524-0039. The time required to complete this information collection is
estimated to average 3.00 hours per response, including the time for
reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection
of information.

Form CSREES-2002 (12/2000) Page B

+------------------------------------------------+---------------------+
| **UUNITED STATES DEPARTMENT OF AGRICULTURE**   | OMB Approved        |
|                                                | 0524-0039           |
| **COOPERATIVE STATE RESEARCH, EDUCATION, AND   |                     |
| EXTENSION SERVICE**                            | ######              |
+------------------------------------------------+---------------------+
|                                                | ##### PROPOSAL TYPE |
+------------------------------------------------+---------------------+
| **Project Director(s) (PD):**                  | **For National      |
|                                                | Research            |
|                                                | Initiative**        |
|                                                |                     |
|                                                | **Competitive       |
|                                                | Grants Program      |
|                                                | Proposals Only**    |
|                                                |                     |
|                                                | \[ \] Standard      |
|                                                | Research Proposal   |
|                                                |                     |
|                                                | \[ \] Conference    |
|                                                |                     |
|                                                | \[ \] AREA Award    |
|                                                |                     |
|                                                | > \[ \]             |
|                                                | > Postdoctoral      |
|                                                | >                   |
|                                                | > \[ \] New         |
|                                                | > Investigator      |
|                                                | >                   |
|                                                | > [Strength         |
|                                                | ening:]{.underline} |
|                                                | >                   |
|                                                | > \[ \] Career      |
|                                                | > Enhancement       |
|                                                | >                   |
|                                                | > \[ \] Equipment   |
|                                                | >                   |
|                                                | > \[ \] Seed Grant  |
|                                                | >                   |
|                                                | > \[ \] Standard    |
|                                                | > Strengthening     |
+------------------------------------------------+---------------------+
| PD Institution                                 |                     |
+------------------------------------------------+---------------------+
| CO-PD Institution                              |                     |
+------------------------------------------------+---------------------+
| CO-PD Institution                              |                     |
+------------------------------------------------+---------------------+
| CO-PD Institution                              |                     |
+------------------------------------------------+---------------------+
| **Project Title:**                             | **For Higher        |
|                                                | Education Program** |
| **Key Words:**                                 |                     |
|                                                | **Proposals Only:** |
|                                                |                     |
|                                                | Need Area:          |
|                                                |                     |
|                                                | Discipline:         |
+------------------------------------------------+---------------------+

  -----------------------------------------------------------------------

  -----------------------------------------------------------------------

> According to the Paperwork Reduction Act of 1995, an agency may not
> conduct or sponsor, and a person is not required to respond to a
> collection of information unless it displays a valid OMB control
> number. The valid OMB control number for this information collection
> is 0524-0039. The time required to complete this information
> collection is estimated to average .50 hour per response, including
> the time for reviewing instructions, searching existing data sources,
> gathering and maintaining the data needed, and completing and
> reviewing the collection of information.
>
> Form CSREES-2003 (12/2000)

+--------------------+----+----+----+-------+-------+-------+-------+
| UNITED STATES      |    |    |    |       |       | OMB   |       |
| DEPARTMENT OF      |    |    |    |       |       | App   |       |
| AGRICULTURE        |    |    |    |       |       | roved |       |
|                    |    |    |    |       |       | 0524  |       |
| COOPERATIVE STATE  |    |    |    |       |       | -0039 |       |
| RESEARCH,          |    |    |    |       |       |       |       |
| EDUCATION, AND     |    |    |    |       |       |       |       |
| EXTENSION SERVICE  |    |    |    |       |       |       |       |
|                    |    |    |    |       |       |       |       |
| # BUDGET           |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| ORGANIZATION AND   |    |    |    | USDA  |       |       |       |
| ADDRESS            |    |    |    | AWARD |       |       |       |
|                    |    |    |    | NO.   |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
|                    |    |    |    | DUR   | DUR   | N     | N     |
|                    |    |    |    | ATION | ATION | on-Fe | on-fe |
|                    |    |    |    |       |       | deral | deral |
|                    |    |    |    | PRO   | PRO   | Pro   | C     |
|                    |    |    |    | POSED | POSED | posed | ost-S |
|                    |    |    |    |       |       | Cos   | harin |
|                    |    |    |    | MO    | MO    | t-Sha | g/Mat |
|                    |    |    |    | NTHS: | NTHS: | ring/ | ching |
|                    |    |    |    | \_\_\ | \_\_\ |       | Funds |
|                    |    |    |    | _\_\_ | _\_\_ | Mat   | App   |
|                    |    |    |    |       |       | ching | roved |
|                    |    |    |    | **    | **    | Funds | by    |
|                    |    |    |    | Funds | Funds |       | C     |
|                    |    |    |    | Requ  | App   | (If   | SREES |
|                    |    |    |    | ested | roved | requ  |       |
|                    |    |    |    | by    | by    | ired) | (If   |
|                    |    |    |    | Propo | CSR   |       | Diffe |
|                    |    |    |    | ser** | EES** |       | rent) |
|                    |    |    |    |       |       |       |       |
|                    |    |    |    |       | (If   |       |       |
|                    |    |    |    |       | diffe |       |       |
|                    |    |    |    |       | rent) |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| PROJECT            |    |    |    |       |       |       |       |
| DIRECTOR(S)        |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| **A. Salaries and  | *  |    |    |       |       |       |       |
| Wages**            | *C |    |    |       |       |       |       |
|                    | SR |    |    |       |       |       |       |
|                    | EE |    |    |       |       |       |       |
|                    | S- |    |    |       |       |       |       |
|                    | FU |    |    |       |       |       |       |
|                    | ND |    |    |       |       |       |       |
|                    | ED |    |    |       |       |       |       |
|                    | WO |    |    |       |       |       |       |
|                    | RK |    |    |       |       |       |       |
|                    | MO |    |    |       |       |       |       |
|                    | NT |    |    |       |       |       |       |
|                    | HS |    |    |       |       |       |       |
|                    | ** |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| 1\. No. Of Senior  | Ca | Ac | Su |       |       |       |       |
| Personnel          | le | ad | mm |       |       |       |       |
|                    | nd | em | er |       |       |       |       |
|                    | ar | ic |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| a\. \_\_\_\_       |    |    |    |       |       |       |       |
| (Co)-PD(s)         |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| b\. \_\_\_\_       |    |    |    |       |       |       |       |
| Senior Associates  |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| 2\. No. of Other   |    |    |    |       |       |       |       |
| Personnel          |    |    |    |       |       |       |       |
| (Non-Faculty)      |    |    |    |       |       |       |       |
|                    |    |    |    |       |       |       |       |
| a\. \_\_\_\_\_     |    |    |    |       |       |       |       |
| Research           |    |    |    |       |       |       |       |
| Associa            |    |    |    |       |       |       |       |
| tes/Postdoctorates |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| b\. \_\_\_\_ Other |    |    |    |       |       |       |       |
| Professionals      |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| c\. \_\_\_\_       |    |    |    |       |       |       |       |
| Paraprofessionals  |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| d\. \_\_\_\_       |    |    |    |       |       |       |       |
| Graduate Students  |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| e\. \_\_\_\_       |    |    |    |       |       |       |       |
| Prebaccalaureate   |    |    |    |       |       |       |       |
| Students           |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| f\. \_\_\_\_       |    |    |    |       |       |       |       |
| Se                 |    |    |    |       |       |       |       |
| cretarial-Clerical |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| g\. \_\_\_\_       |    |    |    |       |       |       |       |
| Technical, Shop    |    |    |    |       |       |       |       |
| and Other          |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| **Total Salaries   |    |    |    |       |       |       |       |
| and Wages**       |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| B. Fringe Benefits |    |    |    |       |       |       |       |
| (If charged as     |    |    |    |       |       |       |       |
| Direct Costs)      |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| **C. Total         |    |    |    |       |       |       |       |
| Salaries, Wages,   |    |    |    |       |       |       |       |
| and Fringe         |    |    |    |       |       |       |       |
| Benefits (A plus   |    |    |    |       |       |       |       |
| B)**              |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| D. Nonexpendable   |    |    |    |       |       |       |       |
| Equipment (Attach  |    |    |    |       |       |       |       |
| supporting data.   |    |    |    |       |       |       |       |
| List items and     |    |    |    |       |       |       |       |
| dollar amounts for |    |    |    |       |       |       |       |
| each item.)        |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| E. Materials and   |    |    |    |       |       |       |       |
| Supplies           |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| F. Travel          |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| G. Publication     |    |    |    |       |       |       |       |
| Costs/Page Charges |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| H. Computer (ADPE) |    |    |    |       |       |       |       |
| Costs              |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| I. Student         |    |    |    |       |       |       |       |
| Assistance/Support |    |    |    |       |       |       |       |
| (Scholar           |    |    |    |       |       |       |       |
| ships/fellowships, |    |    |    |       |       |       |       |
| stipends/tuition,  |    |    |    |       |       |       |       |
| cost of education, |    |    |    |       |       |       |       |
| etc. Attach list   |    |    |    |       |       |       |       |
| of items and       |    |    |    |       |       |       |       |
| dollar amounts for |    |    |    |       |       |       |       |
| each item.)        |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| J. All Other       |    |    |    |       |       |       |       |
| Direct Costs (In   |    |    |    |       |       |       |       |
| budget narrative,  |    |    |    |       |       |       |       |
| list items and     |    |    |    |       |       |       |       |
| dollar amounts,    |    |    |    |       |       |       |       |
| and provide        |    |    |    |       |       |       |       |
| supporting data    |    |    |    |       |       |       |       |
| for each item.)    |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| **K. Total Direct  |    |    |    |       |       |       |       |
| Costs (C through   |    |    |    |       |       |       |       |
| J)**              |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| **L. F&A/Indirect  |    |    |    |       |       |       |       |
| Costs** (If        |    |    |    |       |       |       |       |
| applicable,        |    |    |    |       |       |       |       |
| specify rate(s)    |    |    |    |       |       |       |       |
| and base(s) for    |    |    |    |       |       |       |       |
| on/off campus      |    |    |    |       |       |       |       |
| activity. Where    |    |    |    |       |       |       |       |
| both are involved, |    |    |    |       |       |       |       |
| identify itemized  |    |    |    |       |       |       |       |
| costs included in  |    |    |    |       |       |       |       |
| on/off campus      |    |    |    |       |       |       |       |
| bases.)            |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| **M. Total Direct  |    |    |    |       |       |       |       |
| and F&A/Indirect   |    |    |    |       |       |       |       |
| Costs** (K plus L) |    |    |    |       |       |       |       |
|                   |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| **N. Other**      |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| **O. Total Amount  |    |    |    |       |       |       |       |
| of This Request**  |    |    |    |       |       |       |       |
|                   |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| **P. Carryover \-- |    |    |    |       |       |       |       |
| (If Applicable)**  |    |    |    |       |       |       |       |
| **Federal Funds:   |    |    |    |       |       |       |       |
| \$ Non-Federal     |    |    |    |       |       |       |       |
| funds: \$ Total    |    |    |    |       |       |       |       |
| \$**               |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| **Q.               |    |    |    |       |       |       |       |
| Cos                |    |    |    |       |       |       |       |
| t-Sharing/Matching |    |    |    |       |       |       |       |
| (Breakdown of      |    |    |    |       |       |       |       |
| total amounts      |    |    |    |       |       |       |       |
| shown on line O)** |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| > **Cash (both     |    |    |    |       |       |       |       |
| > Applicant and    |    |    |    |       |       |       |       |
| > Third Party)**  |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| **- Non Cash       |    |    |    |       |       |       |       |
| Contributions      |    |    |    |       |       |       |       |
| (both Applicant    |    |    |    |       |       |       |       |
| and Third Party)** |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| **AME AND TITLE**  |    |    |    | **S   |       |       | **D   |
| (Type or print)    |    |    |    | IGNAT |       |       | ATE** |
|                    |    |    |    | URE** |       |       |       |
|                    |    |    |    | (req  |       |       |       |
|                    |    |    |    | uired |       |       |       |
|                    |    |    |    | for   |       |       |       |
|                    |    |    |    | re    |       |       |       |
|                    |    |    |    | vised |       |       |       |
|                    |    |    |    | b     |       |       |       |
|                    |    |    |    | udget |       |       |       |
|                    |    |    |    | only) |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| ##                 |    |    |    |       |       |       |       |
| # Project Director |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| ## Auth            |    |    |    |       |       |       |       |
| orized Organizatio |    |    |    |       |       |       |       |
| nal Representative |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+
| **Signature (for   |    |    |    |       |       |       |       |
| optional use)**    |    |    |    |       |       |       |       |
+--------------------+----+----+----+-------+-------+-------+-------+

> According to the Paperwork Reduction Act of 1995, an agency may not
> conduct or sponsor, and a person is not required to respond to a
> collection of information unless it displays a valid OMB control
> number. The valid OMB control number for this information collection
> is 0524-0039. The time required to complete this information
> collection is estimated to average 1.00 hour per response, including
> the time for reviewing instructions, searching existing data sources,
> gathering and maintaining the data needed, and completing and
> reviewing the collection of information.
>
> Form CSREES-2004 (12/2000)

#### INSTRUCTIONS FOR COMPLETING FORM CSREES-2004, BUDGET

> **NOTE:** Unless a particular program announcement provides otherwise,
> each application must contain a budget for each year of funds
> requested and a cumulative budget for the full term of requested
> CSREES support.
>
> **BUDGET NARRATIVE:** A narrative for each line item explaining both
> Federal and any required cost-sharing/matching funds along with any
> remarks and budget justifications must be submitted on separate pages
> following the budget form.

**A. Salaries and Wages** \-- Salaries of the project director(s) and
other personnel associated directly with the project should constitute
direct costs in proportion to their effort devoted to the project.
Charges by academic institutions for work performed by faculty members
during the summer months or other periods outside the base salary period
are to be at a monthly rate not in excess of that which would be
applicable under the base salary and other provisions of the applicable
cost principles. All salaries requested must be consistent with the
regular practices of the institution.

Award funds may not be used to augment the total salary or rate of
salary of project personnel or to reimburse them for consulting or other
time in addition to a regular full-time salary covering the same general
period of employment.

The submitting organization may request that senior personnel salary
data not be released to persons outside the Government. In this case,
the item for senior personnel salaries in the formal proposal may be
expressed as a single figure and the work-months represented by that
amount omitted. If this option is exercised, however, senior personnel
salaries and work-months must be itemized in a separate statement, two
copies of which should accompany the proposal. This statement must
include all of the information requested on the CSREES-2004 for each
person involved. The detailed information will not be forwarded to
reviewers and will be held privileged to the extent permitted by law.

Under the CSREES-Funded Work Months on Form CSREES-2004, show the number
of months that will be charged to the project for which salary is paid
by USDA to individuals listed in Items A.1.a. & b. and A.2.a., b. & c.
(e.g., 2 PDs listed in A.1.a. on a 12-month project. One will spend 100%
of time (12 months) and one will spend 50% of time (6 months). Total
work months for A.1.a. would be 18)).

Note: A paraprofessional is an individual who through formal education,
work experience and/or training has the knowledge and expertise to
assist a professional person.

For other personnel (graduate students, technical, clerical, etc.), only
the total number of persons and total amount of salaries per year in
each category are required.

For institutions of higher education, requests for salaries of
administrative and clerical staff as direct costs must be justified in
the budget narrative in accordance with OMB Circular A-21, Cost
Principles for Educational Institutions.

**B. Fringe Benefits** \-- If the usual accounting practices of the
performing organization provide that the organizational contributions to
employee benefits (social

security, FERS, retirement, etc.) be treated as direct costs, award
funds may be requested to defray such expenses as a direct cost.

**C. Total, Salaries and Benefits** \-- Self-explanatory.

**D. Nonexpendable Equipment** Nonexpendable equipment is defined as
tangible property, including exempt property, charged directly to the
award having a useful life of more than one year and an acquisition cost
of \$5,000 or more. However, consistent with recipient policy, lower
limits may be established. Organizations performing work with the
support of a CSREES award are expected to have appropriate facilities,
suitably furnished and equipped. General purpose equipment (equipment
whose use is not limited only to research, medical, scientific,
educational, or other technical activities; i.e., office equipment and
furnishings, air conditioning equipment, reproduction and printing
equipment, motor vehicles, and automatic data processing equipment)
requires special justification and prior approval from the Office of
Extramural Programs (OEP), CSREES.

In the budget narrative, list each item of equipment with cost and
justify why it is needed for the project. If appropriate, provide a
lease versus purchase cost analysis (e.g., motor vehicle).

**E. Materials and Supplies** \-- The types of expendable materials and
supplies required should be indicated in general terms with estimated
costs.

**F. Travel** \-- The type and extent of travel and its relationship to
the project should be specified. Funds may be requested for field work
or for travel to professional meetings. In the budget narrative, for
both domestic and foreign travel, provide the purpose, the destination,
method of travel, number of persons traveling, number of days, and
estimated cost for each trip. If details of each trip are not known at
the time of proposal submission, provide the basis for determining the
amount requested. For example, conduct 100 producer interviews in two
States: 10 people, 4 days each, traveling by car = \$5,200.

Travel and subsistence should be in accordance with organizational
policy. Irrespective of the organizational policy, allowances for
airfare will not normally exceed round trip jet economy air
accommodations. Please note that 7 CFR Part 3015.205 is applicable to
air travel.

**G. Publication Costs/Page Charges** \-- Costs of preparing and
publishing the results of a project conducted under the award, including
costs of reports, reprints, page charges or other journal costs, and
necessary illustrations, may be included. Photocopying should be
included under Item I. All Other Direct Costs.

**H. Computer (ADPE) Costs** \-- The cost of computer services,
including computer-based retrieval of scientific and technical
information, may be requested. A justification based on the established
computer service rates at the proposing organization should be provided.
Reasonable costs of leasing automatic data processing equipment may be
requested, if justified. Note that items of automatic data processing
equipment should be included in D. Nonexpendable Equipment or E.
Materials and Supplies, as appropriate.

Internet connection costs may be requested, as appropriate, in this
category.

**I. Student Assistance/Support** \-- Scholarships, stipends, tuition,
etc. should be itemized with a dollar amount provided for each item. In
addition, the number of students to be supported should be indicated for
each item.

**J. All Other Direct Costs** \-- Other anticipated direct costs not
included above should be included in this category and itemized in the
budget narrative. Examples are subcontracts, space rental at
establishments away from the performing organization, service charges
for use of equipment and user fees for procedures or processes charged
to the grantee, lease of equipment, equipment maintenance, photocopying,
and analyses. Reference books and periodicals may be charged to the
award only if they are related specifically to the project.

Proposed subcontracts should be disclosed in the proposal, including a
statement of the work to be performed, so that the award instrument may
contain prior CSREES authorization, if appropriate. **For each
subcontract, a separate CSREES-2004, \"Budget,\" must be included to
show the breakdown of costs, along with a budget narrative.**

Consultant services should be included in this section. Applicants
normally are expected to utilize the services of their own staff to the
maximum extent possible in managing and performing the activities
supported by awards. 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. The proposal budget should indicate
the amount of funds required for this purpose. The budget narrative
should list the name(s) of the consultant(s), the name(s) of their
organization(s), and a breakdown of the amount being charged to the
award (e.g., number of days of service, rate of pay, travel, per diem,
etc.). If this information is not available at the time of award, funds
for this purpose will be withheld until the information is provided to
and approved by CSREES.

If participant support costs at conferences/meetings are requested,
indicate purpose, dates, and place of conference/meeting; number of
participants; cost for each; speaker fees (include number of persons,
number of days, and cost per person); cost of facilities rental, and
other related expenses.

**K. Total Direct Costs \--** Self-explanatory.

**L. F&A/Indirect Costs (if allowable)** \-- The F&A/indirect cost
rate(s) established by the cognizant Federal negotiating agency cannot
be exceeded in computing

F&A/indirect costs for a proposal. Determination of the

appropriate F&A/indirect cost rate(s) is dependent upon a combination of
factors including, but not limited to, the

physical location of the work and any statutory limit. The proposal
official responsible for Federal business relations should review this
part of the proposal to see that it properly describes any particular
factors which may have a bearing upon the F&A/indirect cost rate(s)
applicable to the project. Normally, the rate in effect on the date the
proposal is recommended for award by the cognizant CSREES program
manager will be used.

If an organization elects to charge a lesser amount or rate for
F&A/indirect costs, the budget should be so noted (e.g., if an
applicant's rate is 50% of Modified Total Direct Costs and the Modified
Total Direct Costs amount is \$20,000, then the applicant is entitled to
\$10,000 for F&A/indirect costs, but it elects to charge only \$8,000 to
the award. Line K. of the CSREES-2004 would appear as follows: 50% of
MTDC = \$10,000; Amount Requested = \$8,000). The organization may also
elect to charge no F&A/indirect costs and utilize all award funds for
direct costs. This option should also be indicated on Line K. of the
CSREES-2004 with the statement, \"None requested.\"

If an organization has not established an F&A/indirect cost rate and
wishes to charge F&A/indirect costs, it should consult OEP/CSREES, which
will establish liaison with the cognizant Federal negotiating agency to
develop an acceptable F&A/indirect cost rate for the awardee.

Many CSREES programs have statutory limits on the amount of F&A/indirect
cost recovery. This limitation flows down to subcontracts. Check the
program announcement for the limitations, if any, on F&A/indirect costs.

**M. Total Direct and F&A/Indirect Costs (K plus L)** \--
Self-explanatory.

**N. Other** \-- Check specific program announcement for use of this
line item.

**O. Total Amount of this Request** \-- Self-explanatory.

**P. Carryover (if applicable \-- check the specific program
announcement for use of this line item)** \-- Report estimated balance
at the end of the prior project period. Carryover funds must be reported
and justified in the budget narrative. Carryover funds must be expended
first before drawing down approved Federal funds for each line item on
the budget.

**Q. Total Cost-Sharing/Matching (if required) \--** On the budget form,
indicate the total amount (both cash and non-cash) of non-Federal
cost-sharing or matching support that will be available to the proposed
project. In the budget narrative, identify the source, the amount, and
the nature (cash or third-party in-kind contribution) of the
cost-sharing or matching funds. To be used as matching support, a cost
must be allowable under the authorizing legislation, the applicable
Federal cost principles, and the program guidelines.

Check the program announcement for the requirement of
cost-sharing/matching funds; only required cost-sharing/matching should
be included on the budget form. Additional contributions may be
addressed in the proposal. Definitions of cash and non-cash
contributions can be found at section 2. of 7 CFR Part 3019.2.

+-------------------------------------------------------+--------------+
| **UNITED STATES DEPARTMENT OF AGRICULTURE**           | OMB Approved |
|                                                       | 0524-0039    |
| > **COOPERATIVE STATE RESEARCH, EDUCATION, AND        |              |
| > EXTENSION SERVICE**                                 |              |
+-------------------------------------------------------+--------------+
| > **CURRENT AND PENDING SUPPORT**                     |              |
+-------------------------------------------------------+--------------+
| **Instructions:**                                     |              |
|                                                       |              |
| 1\. Record information for active and pending         |              |
| projects, including this proposal. (Concurrent        |              |
| submission of a proposal to other organizations will  |              |
| not prejudice its review by CSREES.)                  |              |
|                                                       |              |
| 2\. All current efforts to which project director(s)  |              |
| and other senior personnel have committed a portion   |              |
| of their time [must]{.underline} be listed, whether   |              |
| or not salary for the person involved is included in  |              |
| the budgets of the various projects.                  |              |
|                                                       |              |
| 3\. Provide analogous information for all proposed    |              |
| work which is being considered by, or which will be   |              |
| submitted in the near future to, other possible       |              |
| sponsors including other USDA programs.               |              |
+-------------------------------------------------------+--------------+

+---------+-------------+------+--------+-------+--------------------+
| *       | *           | **T  | **EFF  | **%   | **TITLE OF         |
| *NAME** | *SUPPORTING | OTAL | ECTIVE | OF**  | PROJECT**          |
|         | AGENCY**    | \$** | AND**  |       |                    |
| **(     |             |      |        | **T   |                    |
| List/PD | **AND       | **   | **     | IME** |                    |
| #1      | AGENCY      | AMOU | EXPIRA |       |                    |
| f       | ACTIVE**    | NT** | TION** | **C   |                    |
| irst)** |             |      |        | OMMIT |                    |
|         | **AWAR      |      | **D    | TED** |                    |
|         | D/PENDING** |      | ATES** |       |                    |
|         |             |      |        |       |                    |
|         | **PROPOSAL  |      |        |       |                    |
|         | NUMBER**    |      |        |       |                    |
+---------+-------------+------+--------+-------+--------------------+
|         | Active:     |      |        |       |                    |
+---------+-------------+------+--------+-------+--------------------+
|         | Pending:    |      |        |       |                    |
+---------+-------------+------+--------+-------+--------------------+

According to the Paperwork Reduction Act of 1995, an agency may not
conduct or sponsor, and a person is not required to respond to a
collection of information unless it displays a valid OMB control number.
The valid OMB control number for this information collection is
0524-0039. The time required to complete this information collection is
estimated to average 1.00 hour per response, including the time for
reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection
of information.

Form CSREES-2005 (12/2000)

+-----------------------------------+------------------+---------------+
| **UNITED STATES DEPARTMENT OF     |                  | OMB Approved  |
| AGRICULTURE**                     |                  | 0524-0039     |
|                                   |                  |               |
| **COOPERATIVE STATE RESEARCH,     |                  |               |
| EDUCATION, AND EXTENSION          |                  |               |
| SERVICE**                         |                  |               |
+-----------------------------------+------------------+---------------+
| # National Environ                |                  |               |
| mental Policy Act Exclusions Form |                  |               |
+-----------------------------------+------------------+---------------+
| ^Project\ Director\ Name^         | ^Institution^    |               |
+-----------------------------------+------------------+---------------+
| ^Address^                         |                  |               |
+-----------------------------------+------------------+---------------+

Under 7 CFR Part 3407 (CSREES\'s implementing regulations of the
National Environmental Policy Act of 1969 (NEPA)), environmental data or
documentation is required in order to assist CSREES in carrying out its
responsibilities under NEPA, which includes determining whether the
proposed activity requires the preparation of an environmental
assessment or an environmental impact statement, or whether such
activity can be excluded from this requirement on the basis of several
categories. Therefore, it is necessary for the applicant to advise
CSREES whether the proposed activity falls into one of the following
Department of Agriculture or CSREES categorical exclusions, or whether
the activity does not fall into one of these exclusions (in which case
the preparation of an environmental assessment or an environmental
impact statement may be required). Even though the applicant considers
that a proposed project may or may not fall within a categorical
exclusion, CSREES may determine that an environmental assessment or an
environmental impact statement is necessary for a proposed project
should substantial controversy on environmental grounds exist or if
other extraordinary conditions or circumstances are present that may
cause such activity to have a significant environmental effect.

**Please Read All of the Following and Check All Which Apply**

**\[ \] The proposed activity falls under the categorical exclusion(s)
indicated below:**

####### Department of Agriculture Categorical Exclusions 

(found at 7 CFR 1b.3 and restated at 7 CFR 3407.6 (a)(1)(i) through
(vii))

> \[ \] (i) Policy development, planning and implementation which are
> related to routine activities such as personnel, organizational
> changes, or similar administrative functions
>
> \[ \] (ii) Activities that deal solely with the functions of programs,
> such as program budget proposals, disbursements, and transfer or
> reprogramming of funds
>
> \[ \] (iii) Inventories, research activities, and studies such as
> resource inventories and routine data collection when such actions are
> clearly limited in context and intensity
>
> \[ \] (iv) Educational and informational programs and activities
>
> \[ \] (v) Civil and criminal law enforcement and investigative
> activities
>
> \[ \] (vi) Activities that are advisory and consultative to other
> agencies and public and private entities, such as legal counseling and
> representation
>
> \[ \] (vii) Activities related to trade representation and market
> development activities abroad

**CSREES Categorical Exclusions**

> (found at 7 CFR 3407.6(a)(2)(i) through (ii))

The following categories of CSREES actions are excluded because they
have been found to have limited scope and intensity and to have no
significant individual or cumulative impacts on the quality of the human
environment:

\(i\) The following categories of research programs or projects of
limited size and magnitude or with only short-term effects on the
environment:

\[ \] (A) Research conducted within any laboratory, greenhouse, or other
contained facility where research practices and safeguards prevent
environmental impacts

\[ \] (B) Surveys, inventories, and similar studies that have limited
context and minimal intensity in terms of changes in the environment

\[ \] (C) Testing outside of the laboratory, such as in small isolated
field plots, which involves the routine use of familiar chemicals or
biological materials

\[ \] (ii) Routine renovation, rehabilitation, or revitalization of
physical facilities, including the acquisition and installation of
equipment, where such activity is limited in scope and intensity

########  OR

**\[ \] Proposed activity does *[not]{.underline}* fall into one of the
above categorical exclusions**

(**NOTE**: If checked, please attach an explanation of the potential
environmental impacts of the proposed activity. May require completion
of an environmental assessment or an environmental impact statement.)

According to the Paperwork Reduction Act of 1995, an agency may not
conduct or sponsor, and a person is not required to respond to a
collection of information unless it displays a valid OMB control number.
The valid OMB control number for this information collection is
0524-0039. The time required to complete this information collection is
estimated to average .25 hour per response, including the time for
reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection
of information.

Form CSREES-2006 (12/2000)

+-------------------+--------+--------+--------+---+-----------------+
| **UNITED STATES   |        |        |        |   | OMB Approved    |
| DEPARTMENT OF     |        |        |        |   | 0524-0039       |
| AGRICULTURE**     |        |        |        |   |                 |
|                   |        |        |        |   |                 |
| **COOPERATIVE     |        |        |        |   |                 |
| STATE RESEARCH,   |        |        |        |   |                 |
| EDUCATION, AND    |        |        |        |   |                 |
| EXTENSION         |        |        |        |   |                 |
| SERVICE**         |        |        |        |   |                 |
+-------------------+--------+--------+--------+---+-----------------+
| **CONFLICT OF     |        |        |        |   |                 |
| INTEREST LIST**   |        |        |        |   |                 |
|                   |        |        |        |   |                 |
| **FOR COMPETITIVE |        |        |        |   |                 |
| PROGRAMS ONLY**   |        |        |        |   |                 |
|                   |        |        |        |   |                 |
| Name:             |        |        |        |   |                 |
| \_\_\_\_\         |        |        |        |   |                 |
| _\_\_\_\_\_\_\_\_ |        |        |        |   |                 |
| \_\_\_\_\_\_\_\_\ |        |        |        |   |                 |
| _\_\_\_\_\_\_\_\_ |        |        |        |   |                 |
|                   |        |        |        |   |                 |
| For each project  |        |        |        |   |                 |
| director (PD) and |        |        |        |   |                 |
| other personnel   |        |        |        |   |                 |
| that are required |        |        |        |   |                 |
| based on the      |        |        |        |   |                 |
| specific program  |        |        |        |   |                 |
| guidelines, list  |        |        |        |   |                 |
| alphabetically by |        |        |        |   |                 |
| last name (and    |        |        |        |   |                 |
| with last name    |        |        |        |   |                 |
| first), the full  |        |        |        |   |                 |
| names of          |        |        |        |   |                 |
| individuals in    |        |        |        |   |                 |
| the following     |        |        |        |   |                 |
| categories and    |        |        |        |   |                 |
| mark each         |        |        |        |   |                 |
| category which    |        |        |        |   |                 |
| applies with an   |        |        |        |   |                 |
| "x". Additional   |        |        |        |   |                 |
| pages may be used |        |        |        |   |                 |
| as necessary. A   |        |        |        |   |                 |
| conflict of       |        |        |        |   |                 |
| interest list for |        |        |        |   |                 |
| each PD must be   |        |        |        |   |                 |
| submitted before  |        |        |        |   |                 |
| a proposal is     |        |        |        |   |                 |
| considered        |        |        |        |   |                 |
| complete.         |        |        |        |   |                 |
| Inclusion of a    |        |        |        |   |                 |
| C.V. or           |        |        |        |   |                 |
| publication list  |        |        |        |   |                 |
| in the proposal   |        |        |        |   |                 |
| is not            |        |        |        |   |                 |
| sufficient.       |        |        |        |   |                 |
|                   |        |        |        |   |                 |
| -   All           |        |        |        |   |                 |
|     co-authors on |        |        |        |   |                 |
|     publications  |        |        |        |   |                 |
|     within the    |        |        |        |   |                 |
|     past four     |        |        |        |   |                 |
|     years,        |        |        |        |   |                 |
|     including     |        |        |        |   |                 |
|     pending       |        |        |        |   |                 |
|     publications  |        |        |        |   |                 |
|     and           |        |        |        |   |                 |
|     submissions   |        |        |        |   |                 |
|                   |        |        |        |   |                 |
| ```{=html}        |        |        |        |   |                 |
| <!-- -->          |        |        |        |   |                 |
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| -   All           |        |        |        |   |                 |
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|     on projects   |        |        |        |   |                 |
|     within the    |        |        |        |   |                 |
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| -   All thesis or |        |        |        |   |                 |
|     postdoctoral  |        |        |        |   |                 |
|     *a            |        |        |        |   |                 |
| dvisees/advisors* |        |        |        |   |                 |
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| -   All persons   |        |        |        |   |                 |
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|     with whom you |        |        |        |   |                 |
|     have had a    |        |        |        |   |                 |
|     con           |        |        |        |   |                 |
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|                   |        |        |        |   |                 |
| Note: Other       |        |        |        |   |                 |
| individuals       |        |        |        |   |                 |
| working in the    |        |        |        |   |                 |
| applicant\'s      |        |        |        |   |                 |
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| not in conflict   |        |        |        |   |                 |
| of interest with  |        |        |        |   |                 |
| the applicant     |        |        |        |   |                 |
| unless those      |        |        |        |   |                 |
| individuals fall  |        |        |        |   |                 |
| within one of the |        |        |        |   |                 |
| listed            |        |        |        |   |                 |
| categories.       |        |        |        |   |                 |
+-------------------+--------+--------+--------+---+-----------------+
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+-------------------+--------+--------+--------+---+-----------------+

According to the Paperwork Reduction Act of 1995, an agency may not
conduct or sponsor, and a person is not required to respond to a
collection of information unless it displays a valid OMB control number.
The valid OMB control number for this information collection is
0524-0039. The time required to complete this information collection is
estimated to average .5 hour per response, including the time for
reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection
of information.

Form CSREES 2007

+--------------------------------------------------------+-------------+
| **UNITED STATES DEPARTMENT OF AGRICULTURE**            | OMB         |
|                                                        | approved    |
| **COOPERATIVE STATE RESEARCH, EDUCATION, AND EXTENSION | 0524-0039   |
| SERVICE**                                              |             |
+--------------------------------------------------------+-------------+

  ---------------------------------- -- ----------------------------------
  **ASSURANCE STATEMENT(S)**            

  STATEMENT OF POLICY - Institutions    Organizational Representative
  receiving CSREES funding for          (AOR) that appropriate committees
  research are responsible for          in each institution have carried
  protecting human subjects,            out the initial reviews of
  providing humane treatment of         protocol and will conduct
  animals, and monitoring use of        continuing reviews of supported
  recombinant DNA. To provide for       projects. CSREES also requires AOR
  the adequate discharge of this        certification by citing a timely
  responsibility, CSREES policy         date that an appropriate committee
  requires an assurance by the          issued an approval or exemption.
  institution's Authorized              
  ---------------------------------- -- ----------------------------------

+-------------------------------+---------------+----------------------+
| NOTE: Check appropriate       |               |                      |
| statements, supplying         |               |                      |
| additional information when   |               |                      |
| necessary.                    |               |                      |
+-------------------------------+---------------+----------------------+
| 1\. INSTITUTION               | 2\. CSREES    |                      |
|                               | PROJECT       |                      |
|                               | NUMBER OR     |                      |
|                               |               |                      |
|                               | AWARD NUMBER  |                      |
|                               | (if known)    |                      |
+-------------------------------+---------------+----------------------+
|                               | 3\. PROJECT   |                      |
|                               | DIRECTORT(S)  |                      |
+-------------------------------+---------------+----------------------+
| 4\. TITLE OF PROJECT          |               |                      |
+-------------------------------+---------------+----------------------+
| A. BIOSAFETY OF RECOMBINANT   |               |                      |
| DNA                           |               |                      |
|                               |               |                      |
| -   Project does not involve  |               |                      |
|     recombinant DNA.          |               |                      |
|                               |               |                      |
| ```{=html}                    |               |                      |
| <!-- -->                      |               |                      |
| ```                           |               |                      |
| -   Project involves          |               |                      |
|     recombinant DNA and was   |               |                      |
|     either approved ( ) or    |               |                      |
|     determined to be exempt ( |               |                      |
|     ) from the NIH Guidelines |               |                      |
|     by an Institutional       |               |                      |
|     Biosafety Committee (IBC) |               |                      |
|     on (Date).                |               |                      |
|                               |               |                      |
| This performing organization  |               |                      |
| agrees to assume primary      |               |                      |
| responsibility for complying  |               |                      |
| with both the intent and      |               |                      |
| procedures of the National    |               |                      |
| Institutes of Health (NIH),   |               |                      |
| DHHS [Guidelines for Research |               |                      |
| Involving Recombinant DNA     |               |                      |
| Molecules]{.underline}, as    |               |                      |
| revised.                      |               |                      |
+-------------------------------+---------------+----------------------+
| B. CARE AND USE OF ANIMALS    |               |                      |
|                               |               |                      |
| -   Project does not involve  |               |                      |
|     vertebrate animals.       |               |                      |
|                               |               |                      |
| ```{=html}                    |               |                      |
| <!-- -->                      |               |                      |
| ```                           |               |                      |
| -   Project involves          |               |                      |
|     vertebrate animals and    |               |                      |
|     was approved by the       |               |                      |
|     Institutional Animal Care |               |                      |
|     and Use Committee (IACUC) |               |                      |
|     on                        |               |                      |
|                               |               |                      |
| > (Date).                     |               |                      |
|                               |               |                      |
| This performing organization  |               |                      |
| agrees to assume primary      |               |                      |
| responsibility for complying  |               |                      |
| with the Animal Welfare Act   |               |                      |
| (7 USC, 2131-2156), Public    |               |                      |
| Law 89-544, 1966, as amended, |               |                      |
| and the regulations           |               |                      |
| promulgated thereunder by the |               |                      |
| Secretary of Agriculture in 9 |               |                      |
| CFR Parts 1, 2, 3, and 4. In  |               |                      |
| the case of domesticated farm |               |                      |
| animals housed under farm     |               |                      |
| conditions, the institution   |               |                      |
| shall adhere to the           |               |                      |
| principles stated in the      |               |                      |
| [Guide for the Care and Use   |               |                      |
| of Agricultural Animals in    |               |                      |
| Agricultural Research and     |               |                      |
| Teaching]{.underline},        |               |                      |
| Federation of Animal Science  |               |                      |
| Societies, 1999.              |               |                      |
+-------------------------------+---------------+----------------------+
| C. PROTECTION OF HUMAN        |               |                      |
| SUBJECTS                      |               |                      |
|                               |               |                      |
| -   Project does not involve  |               |                      |
|     human subjects.           |               |                      |
|                               |               |                      |
| ```{=html}                    |               |                      |
| <!-- -->                      |               |                      |
| ```                           |               |                      |
| -   Project involves human    |               |                      |
|     subjects and              |               |                      |
|                               |               |                      |
| ```{=html}                    |               |                      |
| <!-- -->                      |               |                      |
| ```                           |               |                      |
| -   Was approved by the       |               |                      |
|     Institutional Review      |               |                      |
|     Board (IRB) on (Date).    |               |                      |
|     Performing Institution    |               |                      |
|     holds a Federalwide       |               |                      |
|     assurance number ; if     |               |                      |
|     not, a Single Project     |               |                      |
|     Assurance is required.    |               |                      |
|                               |               |                      |
| ```{=html}                    |               |                      |
| <!-- -->                      |               |                      |
| ```                           |               |                      |
| -   Is exempt based on        |               |                      |
|     exemption number .        |               |                      |
|                               |               |                      |
| ```{=html}                    |               |                      |
| <!-- -->                      |               |                      |
| ```                           |               |                      |
| -   Specific plans involving  |               |                      |
|     human subjects depend     |               |                      |
|     upon completion of survey |               |                      |
|     instruments, prior animal |               |                      |
|     studies, or development   |               |                      |
|     of material or            |               |                      |
|     procedures. No human      |               |                      |
|     subjects will be involved |               |                      |
|     in research until         |               |                      |
|     approved by the IRB and a |               |                      |
|     revised Form CSREES-2008  |               |                      |
|     is submitted.             |               |                      |
|                               |               |                      |
| This performing organization  |               |                      |
| agrees to assume primary      |               |                      |
| responsibility for complying  |               |                      |
| with the Federal Policy for   |               |                      |
| Protection of Human Subjects  |               |                      |
| as set forth in 45 CFR Part   |               |                      |
| 46, 1991, as amended, and     |               |                      |
| USDA regulations set forth in |               |                      |
| 7 CFR 1c, 1992. All nonexempt |               |                      |
| research involving human      |               |                      |
| subjects must be approved and |               |                      |
| under continuing review by an |               |                      |
| IRB. If the performing        |               |                      |
| organization submits a Single |               |                      |
| Project Assurance,            |               |                      |
| supplemental information      |               |                      |
| describing procedures to      |               |                      |
| protect subjects from risks   |               |                      |
| is required.                  |               |                      |
+-------------------------------+---------------+----------------------+
| SIGNATURE OF AUTHORIZED       | TITLE         | DATE                 |
| ORGANIZATIONAL REPRESENTATIVE |               |                      |
+-------------------------------+---------------+----------------------+

According to the Paperwork Reduction Act of 1995, an agency may not
conduct or sponsor, and a person is not required to respond to a
collection of information unless it displays a valid OMB control number.
The valid OMB control number for this information collection is
0524‑0039. The time required to complete this information collection is
estimated to average .50 hour per response, including the time for
reviewing instructions, searching existing data sources, gathering and
maintaining the data needed, and completing and reviewing the collection
of information.

CSREES-2008 (12/02/00)

**Instructions for Completing Assurance Statements and Certifications of
Protection from Research Risks**

STATEMENT OF POLICY - Institutions receiving CSREES funding for research
are responsible for protecting human subjects, providing humane
treatment of animals, and monitoring the use of recombinant DNA. To
provide for the adequate discharge of this responsibility, CSREES policy
requires an assurance by the institution's Authorized Organizational
Representative (AOR) that appropriate committees in each institution
have carried out the initial review of protocols and will conduct
continuing reviews of supported projects. CSREES also requires AOR
certification by citing a timely date that an appropriate committee
issued an approval or exemption.

If a research proposal covers multiple projects in which experimental
protocols vary, the AOR must provide documentation of certification,
through multiple copies of Form CSREES-2008, by the appropriate
committee(s) for each specific protocol utilized in the projects.
Examples of multiple project/proposals may include large multi‑faceted
special grants, multi-institutional consortia, multi-state research
projects and some large umbrella Hatch proposals.

Formula funded activities require a certification of action taken by
appropriate committees, which necessitates inclusion of the date of the
action; the designation of 'pending' is not an option. The designation
of 'pending' may be inserted for other grant proposals in lieu of
reporting a date of certification that an appropriate committee took
action. However, a subsequent approval must be obtained, and a revised
Form CSREES-2008 must be submitted before a final award can be made.

A. BIOSAFETY OF RECOMBINANT DNA

If the project involves the use of recombinant DNA molecules, the
performing organization shall assume primary responsibility for
complying with both the intent and procedures of the National Institutes
of Health (NIH), DHHS, [Guidelines for Research Involving Recombinant
DNA Molecules]{.underline}, as revised:

<http://www4.od.nih.gov/oba/rac/guidelines/guidelines.html>

This responsibility includes:

1\. Ensuring that a standing Institutional Biosafety Committee (IBC) is
maintained in accordance with Part IV of the NIH Guidelines and also
ensuring that the research plan is reviewed and approved by the IBC
prior to commencing substantive work under the project. Actions by the
IBC must be documented in Section A of the Form CSREES-2008.

2\. Registering with the IBC all experiments involving recombinant DNA
molecules conducted with funds provided under the project and complying
with the containment requirements specified in Part III of the NIH
Guidelines. Records of this research must be kept in a form that is
available to CSREES upon request.

In addition, the funded recipient must report the following supplemental
data to CSREES and to the reviewing IBC:

a\. New technical information relating to risks and safety procedures.

b\. Serious accidents or releases involving recombinant DNA.

c\. Serious illness of a laboratory worker which may be project related.

d\. Other safety problems.

For serous adverse events, see Appendix M-I-C-4 Safety Reporting of the
NIH, DHHS [Guidelines for Research Involving Recombinant DNA
Molecules]{.underline}, as revised, at:

<http://www4.od.nih.gov/oba/rac/guidelines_02/APPENDIX_M.htm#_APPENDIX_M-I-C-4._Safety>

IBC review and approval or exemption must be documented in Section A of
the Form CSREES-2008. The approval date should reflect a timely review
and not older than 36 months.

B. CARE AND USE OF ANIMALS

The responsibility for the humane care and treatment of vertebrate
animals used in any research project supported with CSREES funds rests
with the performing organization. If a project involves animals, except
farm animals used for food and fiber research, the personnel identified
with the project, and the endorsing officials of the recipient\'s
organization must comply with the Animal Welfare Act (AWA). The AWA (7
USC 2131-2156; Public Law 89-544, 1966, as amended) and the regulations
promulgated thereunder by the Secretary of Agriculture (9 CFR Parts 1,
2, 3, and 4, and subsequent rules and regulations) that pertain to the
care, handling, and treatment of vertebrate animals held or used for
research, teaching, or other activities supported by Federal awards are
published at:

<http://www.nal.usda.gov/awic/legislat/awicregs.htm>

In the case of laboratory animals used or intended for use in research,
the institution shall adhere to the principles enunciated in the [Guide
for the Care and Use of Laboratory Animals, (ILAR, National Academy of
Sciences); 1996:]{.underline}

<http://www.nap.edu/readingroom/books/labrats/>

and to the USDA regulations and standards issued under the public laws
stated above. In case of a conflict between the guidelines, the higher
standard of care shall be used.

When domesticated farm animals are used or intended for use in
agricultural food and fiber production research, teaching or other
activities and housed under farm conditions, the institution shall
adhere to the principles stated in the [Guide for the Care and Use of
Agricultural Animals in Agricultural Research and Teaching,
1999]{.underline} which is available from the Federation of Animal
Science Societies, 1111 N Dunlap, Savoy, IL 61874.

<http://www.fass.org/publications.asp>

Prior to commencing research activities with vertebrate animals, all
protocols involving animals in CSREES funded projects must be approved
by the Institutional Animal Care and Use Committee (IACUC):

<http://grants.nih.gov/grants/olaw/olaw.htm>

IACUC review and approval must be documented in Section B of the Form
CSREES-2008. The approval date should reflect a timely review and not
older than 36 months.

C. PROTECTION OF HUMAN SUBJECTS

The performing organization is responsible for protecting the rights and
welfare of any human subject involved in CSREES sponsored research and
related activities. If a research project protocol involves the use of
human subjects, the institution must agree to comply with the Department
of Health and Human Services' (DHHS) regulations on the protection of
human subjects:

<http://www.hhs.gov/ohrp/humansubjects/guidance/45cfr46.htm>

as set forth in 45 CFR Part 46, 1991, as amended (formally adopted as
The 'Common Rule'), and USDA regulations set forth in 7 CFR 1c, 1992. If
a research project protocol involves the use of human subjects, one and
only one of the three options outlined under section C of Assurance Form
2008 must be completed.

Definitions pertaining to this regulation include:

Human subject means a living individual about whom the investigator
(whether professional or student) conducting research obtains data
through intervention or interaction with the individual, or identifiable
private information.

Research means a systematic investigation, including research
development, testing and evaluation, designed to develop generalizable
knowledge. For example, some demonstration and service programs may
include research activities.

Intervention includes both physical procedures by which data are
gathered and manipulations of the subject that are performed for
research purposes.

Interaction includes communication or interpersonal contact (e.g.,
surveys) between investigator and subject.

Private information includes information which is individually
identifiable and the individual can reasonably expect will not be made
public.

All research protocols involving human subjects must be approved and
undergo continuing review by an Institutional Review Board (IRB). If the
performing organization qualifies for Federalwide Assurance (FWA) status
and has been approved by the Office for Human Research Protections
(OHRP), DHHS, then report the assurance number along with the approval
date. A list of IRBs with FWA status is available at:

<http://ohrp.cit.nih.gov/search/asearch.asp#ASUR>

If the performing organization does not have FWA status, a Single
Project Assurance (SPA) form may be obtained from OHRP, DHHS at:

<http://www.hhs.gov/ohrp/humansubjects/assurance/asur.htm>

and must be submitted. A SPA is a document to assure compliance and
continuing review of the project being proposed, and it is limited in
use and duration to this individual research activity. A SPA signed by
the IRB Chairperson, AOR, and Project Director of the research project
must be submitted. Also, provide additional information regarding the
recruitment and selection of subjects, the proposed processes of
informed consent and maintenance of confidentiality, and risk and
benefit assessments for review by CSREES staff. An institution
submitting a SPA may utilize its own IRB or the IRB of a neighboring
institution.

The IRB approval date should reflect a timely review. The date reported
in section C of the Assurance Form 2008 should not be older than twelve
months, because the 'Common Rule' requires annual review.

Research activities in which the only involvement of human subjects is
in one or more of the following categories are exempt from IRB review:

1\. Research conducted in established or commonly accepted educational
settings.

2\. Research involving the use of educational tests (cognitive,
diagnostic, aptitude, achievement), survey procedures, interview
procedures or observation of public behavior, unless information
obtained is recorded in such a manner that human subjects can be
identified, and any disclosure of the human subjects\' responses outside
the research could reasonably place the subjects at risk or be damaging.

3\. Research not exempt in #2 may be exempt if, in the use of
educational tests, the subjects are elected or appointed officials, or
federal statutes require that confidentiality will be maintained.

4.  Research involving the collection or study of existing data,
    documents, records, pathological specimens, or diagnostic specimens.

5.  Research and demonstration projects which are designed to study,
    evaluate, or otherwise examine public benefit or service programs.

6.  Taste and food quality evaluation and consumer acceptance studies.

It is typically the responsibility of the IRB or AOR, and not the
Program Director, to determine whether research activities qualify for
an exemption. A complete explanation of these exemptions can be found
at:

<http://www.hhs.gov/ohrp/humansubjects/guidance/basics.htm#Exempt>

#### A project may be funded but temporarily excused from IRB approval if specific protocols involving human subjects depend upon the development of survey instruments, procedures or materials, or completion of animal studies. However, human subjects may not be involved in research activities until IRB approval is obtained and a revised Form CSREES-2008 is submitted. 

#### Certifications

The following instructions and forms are included for informational
purposes only. Certifications are accomplished by signing Form
CSREES-2002, Proposal Cover Page. Please read the following
certification statements located in this kit:

1\. Certifications Regarding Drug-Free Workplace Requirements
(Alternatives I and II)

2\. Debarment or Suspension Requirements (Primary and Lower Tier-Covered
Transactions)

3\. Notice to Applicants - Certification/Disclosure Requirements Related
to Lobbying

**U.S. DEPARTMENT OF AGRICULTURE**

**Certification Regarding Debarment, Suspension, and Other**

#### Responsibility Matters - Primary Covered Transactions

This certification is required by the regulations implementing Executive
Order 12549, Debarment and Suspension, 7 CFR Part 3017, Section
3017.510, Participants\' responsibilities. The regulations were
published as Part IV of the January 30, 1989 [Federal
Register]{.underline} (pages 4722-4733). Copies of the regulations may
be obtained by contacting the Department of Agriculture agency offering
the proposed covered transaction.

**(BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS ON REVERSE)**

\(1\) The prospective primary participant certifies to the best of its
knowledge and belief, that it and its principals:

(a) are not presently debarred, suspended, proposed for debarment,
    declared ineligible, or voluntarily excluded from covered
    transactions by any Federal department or agency;

(b) have not within a three-year period preceding this proposal been
    convicted of or had a civil judgement rendered against them for
    commission of fraud or a criminal offense in connection with
    obtaining, attempting to obtain, or performing a public (Federal,
    State or local) transaction or contract under a public transaction;
    violation of Federal or State antitrust statutes or commission of
    embezzlement, theft, forgery, bribery, falsification or destruction
    of records, making false statements, or receiving stolen property;

(c) are not presently indicted for or otherwise criminally or civilly
    charged by a governmental entity (Federal, State or local) with
    commission of any of the offenses enumerated in paragraph (1)(b) of
    this certification; and

(d) have not within a three-year period preceding this
    application/proposal had one or more public transactions (Federal,
    State or local) terminated for cause or default.

\(2\) Where the prospective primary participant is unable to certify to
any of the statements in this certification, such prospective
participant shall attach an explanation to this proposal.

> Organization Name PR/Award Number or Project Name
>
> Name(s) and Title(s) of Authorized Representative(s)

**DO NOT SIGN THIS FORM - CERTIFICATION IS PROVIDED WHEN THE APPLICANT
SIGNS THE CSREES-2002, \"PROPOSAL COVER PAGE.\"**

> Signature(s) Date

Form AD-1047 (1/92)

**[Instructions for Certification]{.underline}**

1\. By signing and submitting this form, the prospective primary
participant is providing the certification set out on the reverse side
in accordance with these instructions.

2\. The inability of a person to provide the certification required
below will not necessarily result in denial of participation in this
covered transaction. The prospective participant shall submit an
explanation of why it cannot provide the certification set out on this
form. The certification or explanation will be considered in connection
with the department or agency\'s determination whether to enter into
this transaction. However, failure of the prospective primary
participant to furnish a certification or an explanation shall
disqualify such person from participation in this transaction.

3\. The certification in this clause is a material representation of
fact upon which reliance was placed when the department or agency
determined to enter into this transaction. If it is later determined
that the prospective primary participant knowingly rendered an erroneous
certification, in addition to other remedies available to the Federal
Government, the department or agency may terminate this transaction for
cause or default.

4\. The prospective primary participant shall provide immediate written
notice to the department or agency to whom this proposal is submitted if
at any time the prospective primary participant learns that its
certification was erroneous when submitted or has become erroneous by
reason of changed circumstances.

5\. The terms \"covered transaction,\" \"debarred,\" \"suspended,\"
\"ineligible,\" \"lower tier covered transaction,\" \"participant,\"
\"person,\" \"primary covered transaction,\" \"principal,\"
\"proposal,\" and \"voluntarily excluded,\" as used in this clause, have
the meanings set out in the Definitions and Coverage sections of the
rules implementing Executive Order 12549. You may contact the department
or agency to which this proposal is being submitted for assistance in
obtaining a copy of those regulations.

6\. The prospective primary participant agrees by submitting this form
that, should the proposed covered transaction be entered into, it shall
not knowingly enter into any lower tier covered transaction with a
person who is debarred, suspended, declared ineligible, or voluntarily
excluded from participation in this covered transaction, unless
authorized by the department or agency entering into this transaction.

7\. The prospective primary participant further agrees by submitting
this form that it will include the clause titled \"Certification
Regarding Debarment, Suspension, Ineligibility and Voluntary Exclusion -
Lower Tier Covered Transactions,\" provided by the department or agency
entering into this covered transaction, without modification, in all
lower tier covered transactions and in all solicitations for lower tier
covered transactions.

8\. A participant in a covered transaction may rely upon a certification
of a prospective participant in a lower tier covered transaction that is
not debarred, suspended, ineligible, or voluntarily excluded from the
covered transaction, unless it knows that the certification is
erroneous. A participant may decide the method and frequency by which it
determines the eligibility of its principals. Each participant may, but
is not required to, check the Nonprocurement List.

9\. Nothing contained in the foregoing shall be construed to require
establishment of a system of records in order to render in good faith
the certification required by this clause. The knowledge and information
of a participant is not required to exceed that which is normally
possessed by a prudent person in the ordinary course of business
dealings.

10\. Except for transactions authorized under paragraph 6 of these
instructions, if a participant in a covered transaction knowingly enters
into a lower tier covered transaction with a person who is suspended,
debarred, ineligible, or voluntarily excluded from participation in this
transaction, in addition to other remedies available to the Federal
Government, the department or agency may terminate this transaction for
cause or default.

Form AD-1047 (1/92)

**U.S. DEPARTMENT OF AGRICULTURE**

#### Certification Regarding Debarment, Suspension, Ineligibility

**and Voluntary Exclusion - Lower Tier Covered Transactions**

This certification is required by the regulations implementing Executive
Order 12549, Debarment and Suspension, 7 CFR part 3017, Section
3017.510, Participants\' responsibilities. The regulations were
published as Part IV of the January 30, 1989, [Federal
Register]{.underline} (pages 4722-4733). Copies of the regulations may
be obtained by contacting the Department of Agriculture agency with
which this transaction originated.

**(BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS ON REVERSE)**

> \(1\) The prospective lower tier participant certifies, by submission
> of this proposal, that neither it nor its principals is presently
> debarred, suspended, proposed for debarment, declared ineligible, or
> voluntarily excluded from participation in this transaction by any
> Federal department or agency.
>
> \(2\) Where the prospective lower tier participant is unable to
> certify to any of the statements in this certification, such
> prospective participant shall attach an explanation to this proposal.
>
> Organization Name PR/Award Number or Project Name
>
> Name(s) and Title(s) of Authorized Representative(s)
>
> Signature(s) Date

Form AD-1048 (1/92)

**[Instructions for Certification]{.underline}**

1.  By signing and submitting this form, the prospective lower tier
    participant is providing the certification set out on the reverse
    side in accordance with these instructions.

2.  The certification in this clause is a material representation of
    fact upon which reliance was placed when this transaction was
    entered into. If it is later determined that the prospective lower
    tier participant knowingly rendered an erroneous certification, in
    addition to other remedies available to the Federal Government, the
    department or agency with which this transaction originated may
    pursue available remedies, including suspension and/or debarment.

3.  The prospective lower tier participant shall provide immediate
    written notice to the person to which this proposal is submitted if
    at any time the prospective lower tier participant learns that its
    certification was erroneous when submitted or has become erroneous
    by reason of changed circumstances.

4.  The terms \"covered transaction,\" \"debarred,\" \"suspended,\"
    \"ineligible,\" \"lower tier covered transaction,\" \"participant,\"
    \"person,\" \"primary covered transaction,\" \"principal,\"
    \"proposal,\" and \"voluntarily excluded,\" as used in this clause,
    have the meanings set out in the Definitions and Coverage sections
    of rules implementing Executive Order 12549. You may contact the
    person to which this proposal is submitted for assistance in
    obtaining a copy of those regulations.

5.  The prospective lower tier participant agrees by submitting this
    form that, should the proposed covered transaction be entered into,
    it shall not knowingly enter into any lower tier covered transaction
    with a person who is debarred, suspended, declared ineligible, or
    voluntarily excluded from participation in this covered transaction,
    unless authorized by the department or agency with which this
    transaction originated.

6.  The prospective lower tier participant further agrees by submitting
    this form that it will include this clause titled \"Certification
    Regarding Debarment, Suspension, Ineligibility and Voluntary
    Exclusion - Lower Tier Covered Transaction,\" without modification,
    in all lower tier covered transaction and in all solicitations for
    lower tier covered transactions.

7.  A participant in a covered transaction may rely upon a certification
    of a prospective participant in a lower tier covered transaction
    that is not debarred, suspended, ineligible, or voluntarily excluded
    from the covered transaction, unless it knows that the certification
    is erroneous. A participant may decide the method and frequency by
    which it determines the eligibility of its principals. Each
    participant may, but is not required to, check the Nonprocurement
    List.

8.  Nothing contained in the foregoing shall be construed to require
    establishment of a system of records in order to render in good
    faith the certification required by this clause. The knowledge and
    information of a participant is not required to exceed that which is
    normally possessed by a prudent person in the ordinary course of
    business dealings.

9.  Except for transactions authorized under paragraph 5 of these
    instructions, if a participant in a covered transaction knowingly
    enters into a lower tier covered transaction with a person who is
    suspended, debarred, ineligible, or voluntarily excluded from
    participation in this transaction, in addition to other remedies
    available to the Federal Government, the department or agency with
    which this transaction originated may pursue available remedies,
    including suspension and/or debarment.

2

Form AD-1048 (1/92)

**UNITED STATES DEPARTMENT OF AGRICULTURE**

**CERTIFICATION REGARDING**

**DRUG-FREE WORKPLACE REQUIREMENTS (GRANTS)**

######### ALTERNATIVE I - FOR GRANTEES OTHER THAN INDIVIDUALS

This certification is required by the regulations implementing Sections
5151-5160 of the Drug-Free Workplace Act of 1988 (Pub. L. 100-690, Title
V, Subtitle D; 41 U.S.C. 701 *et seq*.), 7 CFR Part 3017, Subpart F,
Section 3017.600, Purpose. The January 31, 1989, regulations were
amended and published as Part II of the May 25, 1990 **Federal
Register** (pages 21681-21691). Copies of the regulations may be
obtained by contacting the Department of Agriculture agency offering the
grant.

***(Before completing Certification, read instructions on page 2)***

**Alternative I**

A. The grantee certifies that it will or will continue to provide a
drug-free workplace by:

> \(a\) Publishing a statement notifying employees that the unlawful
> manufacture, distribution, dispensing, possession, or use of a
> controlled substance is prohibited in the grantee\'s workplace and
> specifying the actions that will be taken against employees for
> violation of such prohibition;
>
> \(b\) Establishing an ongoing drug-free awareness program to inform
> employees about \--
>
> \(1\) The dangers of drug abuse in the workplace;
>
> \(2\) The grantee\'s policy of maintaining a drug-free workplace;
>
> \(3\) Any available drug counseling, rehabilitation, and employee
> assistance programs; and
>
> \(4\) The penalties that may be imposed upon employees for drug abuse
> violations occurring in the workplace;
>
> \(c\) Making it a requirement that each employee to be engaged in the
> performance of the grant be given a copy of the statement required by
> paragraph (a);
>
> \(d\) Notifying the employee in the statement required by paragraph
> (a) that, as a condition of employment under the grant, the employee
> will \--
>
> \(1\) Abide by the terms of the statement; and
>
> \(2\) Notify the employer in writing of his or her conviction for a
> violation of a criminal drug statute occurring in the workplace no
> later than five calendar days after such conviction;
>
> \(e\) Notifying the agency in writing, within ten calendar days after
> receiving notice under subparagraph (d)(2) from an employee or
> otherwise receiving actual notice of such conviction. Employers of
> convicted employees must provide notice, including position title, to
> every grant officer on whose grant activity the convicted employee was
> working, unless the Federal agency has designated a central point for
> the receipt of such notices. Notice shall include the identification
> number(s) of each affected grant;
>
> Taking one of the following actions, within 30 calendar days of
> receiving notice under subparagraph (d)(2), with respect to any
> employee who is so convicted \--
>
> \(1\) Taking appropriate personnel action against such an employee, up
> to and including termination, consistent with the requirements of the
> Rehabilitation Act of 1973, as amended; or
>
> \(2\) Requiring such employee to participate satisfactorily in a drug
> abuse assistance or rehabilitation program approved for such purposes
> by a Federal, State, or local health, law enforcement, or other
> appropriate agency;
>
> \(g\) Making a good faith effort to continue to maintain a drug-free
> workplace through implementation of paragraphs (a), (b), (c), (d), (e)
> and (f).

B. The grantee may insert in the space provided below the site(s) for
the performance of work done in connection with the specific grant:

Place of Performance (Street address, city, county, State, zip code)

Check if there are workplaces on file that are not identified here.

Organization Name

Award Number or Project Name

Name and Title of Authorized Representative

**DO NOT SIGN THIS FORM - CERTIFICATION IS PROVIDED WHEN THE APPLICANT
SIGNS THE CSREES-2002, \"PROPOSAL COVER PAGE.\"**

Signature Date

Form AD-1049 (REV 5/90)

**[INSTRUCTIONS FOR CERTIFICATION]{.underline}**

1.  By signing and submitting this form, the grantee is providing the
    certification set out on pages 1 and 2.

2.  The certification set out on pages 1 and 2 is a material
    representation of fact upon which reliance is placed when the agency
    awards the grant. If it is later determined that the grantee
    knowingly rendered a false certification, or otherwise violates the
    requirements of the Drug-Free Workplace Act, the agency, in addition
    to any other remedies available to the Federal Government, may take
    action authorized under the Drug-Free Workplace Act.

3.  Workplaces under grants, for grantees other than individuals, need
    not be identified on the certification. If known, they may be
    identified in the grant application. If the grantee does not
    identify the workplaces at the time of application, or upon award,
    if there is no application, the grantee must keep the identity of
    the workplace(s) on file in its office and make the information
    available for Federal inspection. Failure to identify all known
    workplaces constitutes a violation of the grantee\'s drug-free
    workplace requirements.

4.  Workplace identifications must include the actual address of
    buildings (or parts of buildings) or other sites where work under
    the grant takes place. Categorical descriptions may be used (e.g.,
    all vehicles of a mass transit authority or State highway department
    while in operation, State employees in each local unemployment
    office, performers in concert halls or radio studios).

5.  If the workplace identified to the agency changes during the
    performance of the grant, the grantee shall inform the agency of the
    change(s), if it previously identified the workplaces in question
    (see paragraph three).

6.  Definitions of terms in the Nonprocurement Suspension and Debarment
    common rule and Drug-Free Workplace common rule apply to this
    certification. Grantees\' attention is called, in particular, to the
    following definitions from these rules:

\"Controlled\" substance means a controlled substance in Schedules I
through V of the Controlled Substances Act (21 U.S.C. 812) and as
further defined by regulation (21 CFR 1308.11 through 1308.15);

\"Conviction\" means a finding of guilt (including a plea of nolo
contendere) or imposition of sentence, or both, by any judicial body
charged with the responsibility to determine violations of the Federal
or State criminal drug statutes;

\"Criminal drug statute\" means a Federal or non-Federal criminal
statute involving the manufacture, distribution, dispensing, use, or
possession of any controlled substance;

\"Employee\" means the employee of a grantee directly engaged in the
performance of work under a grant, including: (i) all \"direct charge\"
employees; (ii) all \"indirect charge\" employees unless their impact or
involvement is insignificant to the performance of the grant; and, (iii)
temporary personnel and consultants who are directly engaged in the
performance of work under the grant and who are on the grantee\'s
payroll. This definition does not include workers not on the payroll of
the grantee (e.g., volunteers, even if used to meet a matching
requirement; consultants or independent contractors not on the
grantee\'s payroll; or employees of subrecipients or subcontractors in
covered workplaces).

2

Form AD-1049 (REV 5/90)

# U.S. DEPARTMENT OF AGRICULTURE

#### CERTIFICATION REGARDING

**DRUG-FREE WORKPLACE REQUIREMENTS (GRANTS)**

**ALTERNATIVE II - FOR GRANTEES WHO ARE INDIVIDUALS**

This certification is required by the regulations implementing Sections
5151-5160 of the Drug-Free Workplace Act of 1988 (Pub. L. 100-690, Title
V, Subtitle D; 41 U.S.C. 701 *et seq*.), 7 CFR Part 3017, Subpart F,
Section 3017.600, Purpose. The January 31, 1989, regulations were
amended and published as Part II of the May 25, 1990 [Federal
Register]{.underline} (pages 21681-21691). Copies of the regulations may
be obtained by contacting the Department of Agriculture agency offering
the grant.

**(BEFORE COMPLETING CERTIFICATION, READ INSTRUCTIONS BELOW)**

**[Alternative II]{.underline}**

\(a\) The grantee certifies that, as a condition of the grant, he or she
will not engage in the unlawful manufacture, distribution, dispensing,
possession, or use of a controlled substance in conducting any activity
with the grant.

\(b\) If convicted of a criminal drug offense resulting from a violation
occurring during the conduct of any grant activity, he or she will
report the conviction, in writing, within 10 calendar days of the
conviction, to the grant officer or other designee, unless the Federal
agency designates a central point for the receipt of such notices. When
notice is made to such a central point, it shall include the
identification number(s) of each affected grant.

> Organization Name Award Number or Project Name

**DO NOT SIGN THIS FORM - CERTIFICATION IS PROVIDED WHEN THE APPLICANT
SIGNS THE CSREES-2002, \"PROPOSAL COVER PAGE.\"**

> Name(s) and Title(s) of Authorized Representative(s)
>
> Signature(s) Date

1

Form AD-1050 (REV 1/92)

**[INSTRUCTIONS FOR CERTIFICATION]{.underline}**

1.  By signing and submitting this form, the grantee is providing the
    certification set out on page 1.

2.  The certification set out on page 1 is a material representation of
    fact upon which reliance is placed when the agency awards the grant.
    If it is later determined that the grantee knowingly rendered a
    false certification, or otherwise violates the requirements of the
    Drug-Free Workplace Act, the agency, in addition to any other
    remedies available to the Federal Government, may take action
    authorized under the Drug-Free Workplace Act.

3.  Workplaces under grants, for grantees other than individuals, need
    not be identified on the certification. If known, they may be
    identified in the grant application. If the grantee does not
    identify the workplaces at the time of application, or upon award,
    if there is no application, the grantee must keep the identity of
    the workplace(s) on file in its office and make the information
    available for Federal inspection. Failure to identify all known
    workplaces constitutes a violation of the grantee\'s drug-free
    workplace requirements.

4.  Workplace identifications must include the actual address of
    buildings (or parts of buildings) or other sites where work under
    the grant takes place. Categorical descriptions may be used (e.g.,
    all vehicles of a mass transit authority or State highway department
    while in operation, State employees in each local unemployment
    office, performers in concert halls or radio studios).

5.  If the workplace identified to the agency changes during the
    performance of the grant, the grantee shall inform the agency of the
    change(s), if it previously identified the workplaces in question
    (see paragraph three).

6.  Definitions of terms in the Nonprocurement Suspension and Debarment
    common rule and Drug-Free Workplace common rule apply to this
    certification. Grantees\' attention is called, in particular, to the
    following definitions from these rules:

> \"Controlled substance\" means a controlled substance in Schedules I
> through V of the Controlled Substances Act (21 U.S.C. 812) and as
> further defined by regulation (21 CFR 1308.11 through 1308.15);
>
> \"Conviction\" means a finding of guilt (including a plea of nolo
> contendere) or imposition of sentence, or both, by any judicial body
> charged with the responsibility to determine violations of the Federal
> or State criminal drug statutes;
>
> \"Criminal drug statute\" means a Federal or non-Federal criminal
> statute involving the manufacture, distribution, dispensing, use, or
> possession of any controlled substance;
>
> \"Employee\" means the employee of a grantee directly engaged in the
> performance of work under a grant, including: (i) all \"direct
> charge\" employees; (ii) all \"indirect charge\" employees unless
> their impact or involvement is insignificant to the performance of the
> grant; and, (iii) temporary personnel and consultants who are directly
> engaged in the performance of work under the grant and who are on the
> grantee\'s payroll. This definition does not include workers not on
> the payroll of the grantee (e.g., volunteers, even if used to meet a
> matching requirement; consultants or independent contractors not on
> the grantee\'s payroll; or employees of subrecipients or
> subcontractors in covered workplaces).

Form AD-1050 (REV 1/92)

2

**UNITED STATES DEPARTMENT OF AGRICULTURE**

**COOPERATIVE STATE RESEARCH, EDUCATION, AND EXTENSION SERVICE**

**NOTICE TO APPLICANTS - CERTIFICATION/DISCLOSURE REQUIREMENTS**

**RELATED TO LOBBYING**

Section 319 of Public Law 101-121 (31 U.S.C.), signed into law on
October 23, 1989, imposes new prohibitions and requirements for
disclosure and certification related to lobbying on recipients of
Federal contracts, grants, cooperative agreements, and loans. Certain
provisions of the law also apply to Federal commitments for loan
guarantees and insurance; however, it provides exemptions for Indian
tribes and tribal organizations.

Effective December 23, 1989, current and prospective recipients (and
their subtier contractors and/or subgrantees) will be prohibited from
using Federal funds, other than profits from a Federal contract, for
lobbying Congress or any Federal agency in connection with the award of
a particular contract, grant, cooperative agreement or loan. In
addition, for each award action in excess of \$100,000 (or \$150,000 for
loans) on or after December 23, 1989, the law requires recipients and
their subtier contractors and/or subgrantees to: (1) certify that they
have neither used nor will use any appropriated funds for payment to
lobbyists; (2) disclose the name, address, payment details, and purpose
of any agreements with lobbyists whom recipients or their subtier
contractors or subgrantees will pay with profits or **non-appropriated**
funds on or after December 23, 1989; and (3) file quarterly updates
about the use of lobbyists if materials changes occur in their use. The
law establishes civil penalties for noncompliance.

If you are a current recipient of funding or have an application,
proposal, or bid pending as of December 23, 1989, the law will have the
following immediate consequences for you:

> • You are prohibited from using appropriated funds (other than profits
> from Federal contracts) on or after December 23, 1989, for lobbying
> Congress or any Federal agency in connection with a particular
> contract, grant, cooperative agreement, or loan;
>
> • you are required to execute the attached certification at the time
> of submission of an application or before any action in excess of
> \$100,000 is awarded; and
>
> • you will be required to complete the lobbying disclosure form if the
> disclosure requirements apply to you.

Regulations implementing Section 319 of Public Law 101-121 have been
published as an Interim Final Rule by the Office of Management and
Budget as Part III of the February 26, 1990, **Federal Register** (pages
6736-6746).

**UNITED STATES DEPARTMENT OF AGRICULTURE**

**COOPERATIVE STATE RESEARCH, EDUCATION, AND EXTENSION SERVICE**

**CERTIFICATION REGARDING LOBBYING - CONTRACTS, GRANTS, LOANS**

**AND COOPERATIVE AGREEMENTS**

The undersigned certifies, to the best of his or her knowledge and
belief, that:

\(1\) No Federal appropriated funds have been paid or will be paid, by
or on behalf of the undersigned, to any person for influencing or
attempting to influence an officer or employee of any agency, a Member
of Congress, an officer or employee of Congress, or an employee of a
Member of Congress in connection with the awarding of any Federal
contract, the making of any Federal grant, the making of any Federal
loan, the entering into of any cooperative agreement, and the extension,
continuation, renewal, amendment, or modification of any Federal
contract, grant, loan or cooperative agreement;

\(2\) If any funds other than Federal appropriated funds have been paid
or will be paid to any person for influencing or attempting to influence
an officer or employee of any agency, a Member of Congress, an officer
or employee of Congress, or an employee of a Member of Congress in
connection with this Federal contract, grant, loan, or cooperative
agreement, the undersigned shall complete and submit Standard Form-LLL,
\"Disclosure Form to Report Lobbying,\" in accordance with its
instructions;

\(3\) The undersigned shall require that the language of this
certification be included in the award documents for all subawards at
all tiers (including subcontracts, subgrants, and contracts under
grants, loans, and cooperative agreements) and that all subrecipients
shall certify and disclose accordingly.

This certification is a material representation of fact upon which
reliance was placed when this transaction was made or entered into.
Submission of this certification is a prerequisite for making or
entering into this transaction imposed by section 1352, title 31, U.S.
Code. Any person who fails to file the required certification shall be
subject to a civil penalty of not less than \$10,000 and not more than
\$100,000 for each such failure.

Organization Name Award Number or Project Name

Name and Title of Authorized Representative

> **DO NOT SIGN THIS FORM - CERTIFICATION IS PROVIDED WHEN THE APPLICANT
> SIGNS THE CSREES-2002, \"PROPOSAL COVER PAGE.\"**

Signature Date