**The ARS Project Peer Review Process**

Procedures for NP and Area Program Analysts

March 2005

Developed from Program Analyst Workshop

(rev. 2/06)

Table of Contents

Page

Acronyms -- Abbreviations 3

The Process

Stage 1 -- Identification of Projects to be Reviewed 4

Stage 2 -- Prospectus and COI Development 9

Stage 3 -- Project Plan Development 11

Stage 4 -- Peer Review 12

Stage 5 -- Revision and Response -- PostPlan 13

Stage 5a -- Revision and Response -- ReReview 14

Stage 5b -- Revision and Response -- Postpone 17

Stage 5c -- Revision and Response -- Terminate/Redirect 18

Stage 5d -- Revision and Response -- Disapproved Postpone or

> Terminate/Redirect Request 19

Stage 6 -- Implementation 20

Formats

Tracking Documents and Document Transfer 21

Conflict of Interest 23

Prospectus 24

Project Plan 27

Templates

COI Template 33

Signature Page Templates 34

Request for Postponement Memo Templates 39

Request for Termination/Redirection Memo Template 42

Concurrence Template 43

Review Schedule Template 44

Milestone Table Template 45

Examples

Milestone Table 46

PDRAM 48

Additional Information

ARS's Categories for Professional Scientific Positions 52

Hypothesis-Driven vs. Non-Hypothesis Driven Research 53

Requirements for Letters of Collaboration 55

Scanning and Editing Adobe File Tips 56

Bulletin on Requesting Postponements 57

Useful Websites 61

**Acronyms -- Abbreviations**

CD/LD/ID -- Center Director/Laboratory Director/Institute Director

COI -- Conflicts of Interest

NP -- National Program

NPS -- National Program Staff

NPT -- National Program Team

PA -- Program Analyst

PDRAM -- Program Direction and Resource Allocation Memo

PI/RL -- Principal Investigator/Research Leader

OSQR -- Office of Scientific Quality Review

SCA -- Specific Cooperative Agreement

  ------------- ---------- ----------- ------------- -------------- ----------- ------------
  **Step**      **Lead     **OSQR      **NPS Role**  **Area Role**  **PI/RL     **ARIS
                Office**   Role**                                   Role**      Tracking**

  Identify      NPS                    Using Peer                               
  projects to                          Review                                   
  be peer                              Tracking                                 
  reviewed                             system and                               
  (ad-hoc and                          OSQR                                     
  Panel) and                           schedule, PAs                            
  assign to                            generate list                            
  panels                               of projects                              
                                       to be                                    
                                       reviewed.                                

                                       NPLs review;                             
                                       request AD                               
                                       concurrence                              
                                       on projects                              
                                       to be                                    
                                       reviewed.                                

                                                     Initial                    
                                                     concurrence;               
                                                     coordinate any             
                                                     postpone                   
                                                     actions from               
                                                     PI/RL.                     

                                       Develop final                            NPS
                                       lists,                                   
                                       identify                                 
                                       proposed                                 
                                       number of                                
                                       panels                                   
                                       needed,                                  
                                       assign                                   
                                       projects to                              
                                       proposed                                 
                                       panels;                                  
                                       forward to                               
                                       OSQR for                                 
                                       approval,                                
                                       copy Area.                               

                                                     Request PI to              
                                                     begin work on              
                                                     COI.                       
  ------------- ---------- ----------- ------------- -------------- ----------- ------------

  ---------------- ---------- ------------ ----------------- -------------- ---------------- ------------
  **Step**         **Lead     **OSQR       **NPS Role**      **Area Role**  **PI/RL Role**   **ARIS
                   Office**   Role**                                                         Tracking**

  Program Planning NPS                     Announce Planning                                 
  Meeting or                               and Coordination                                  
  Teleconference                           Workshop (or                                      
                                           teleconference)                                   
                                           to: Review NP                                     
                                           mission,                                          
                                           components,                                       
                                           action plan                                       
                                           problem areas,                                    
                                           and relationship                                  
                                           of NP to other                                    
                                           national                                          
                                           programs. Review                                  
                                           progress made by                                  
                                           each project;                                     
                                           identify gaps and                                 
                                           needs in                                          
                                           research;                                         
                                           identify                                          
                                           cooperators and                                   
                                           collaborators;                                    
                                           review projects                                   
                                           to avoid                                          
                                           duplication of                                    
                                           efforts. Request                                  
                                           PIs to prepare                                    
                                           project planning                                  
                                           documentation.                                    
                                           Reminder on COI                                   
                                           development. CC                                   
                                           Area on                                           
                                           invitation memo.                                  

                                                             Instruct PI/RL                  
                                                             on routing of                   
                                                             project                         
                                                             planning                        
                                                             document.                       
                                                             Request COI to                  
                                                             be submitted                    
                                                             to Area at                      
                                                             same time as                    
                                                             project                         
                                                             planning                        
                                                             document                        
                                                             submitted.                      

                                                                            Prepare project  
                                                                            planning         
                                                                            document prior   
                                                                            to workshop;     
                                                                            forward to NPS,  
                                                                            through or cc    
                                                                            Area, as         
                                                                            directed.        

  **Step**         **Lead     **OSQR       **NPS Role**      **Area Role**  **PI/RL Role**   **ARIS
                   Office**   Role**                                                         Tracking**

  Program Planning                                                          Submit initial   
  Meeting or                                                                COI lists to     
  Teleconference                                                            Area             
  (continued)                                                                                

                                           Host Workshop or                 Participate in   
                                           Teleconference.                  Workshop or      
                                                                            Teleconference   

                                           Provide OSQR with                                 
                                           list of potential                                 
                                           panel chairs.                                     
                                           Submit final                                      
                                           panel assignment                                  
                                           of projects for                                   
                                           OSQR approval,                                    
                                           copy Areas.                                       

                              Notify NPS                                                     
                              of approved                                                    
                              panel                                                          
                              assignment                                                     
                              of projects,                                                   
                              copy Areas.                                                    
                              Update                                                         
                              website.                                                       
                              Begin panel                                                    
                              selection                                                      
                              and                                                            
                              scheduling                                                     
                              process                                                        

                                                             Within 2 weeks                  Area
                                                             of receipt of                   
                                                             approved panel                  
                                                             assignments,                    
                                                             submit initial                  
                                                             COI lists to                    
                                                             OSQR, copy NPS                  

                              Use COI to                                                     
                              develop list                                                   
                              of potential                                                   
                              panelists                                                      
  ---------------- ---------- ------------ ----------------- -------------- ---------------- ------------

  ------------- ---------- ----------- ------------- ----------- ----------- ------------
  **Step**      **Lead     **OSQR      **NPS Role**  **Area      **PI/RL     **ARIS
                Office**   Role**                    Role**      Role**      Tracking**

  Develop                  Provide                                           
  Schedule                 dates due                                         
                           to OSQR.                                          

                                       Develop                               
                                       schedule(s)                           
                                       of dates due                          
                                       to NPS and                            
                                       OSQR; forward                         
                                       to Areas with                         
                                       PDRAMs.                               

                                                     Add Area                
                                                     due dates;              
                                                     provide to              
                                                     PI/RL with              
                                                     PDRAMs.                 
  ------------- ---------- ----------- ------------- ----------- ----------- ------------

  ------------- ---------- ----------- -------------- -------------- ------------- ------------
  **Step**      **Lead     **OSQR      **NPS Role**   **Area Role**  **PI/RL       **ARIS
                Office**   Role**                                    Role**        Tracking**

  PDRAM         NPS                    Develop and                                 NPS
                                       issue PDRAMs                                
                                       to Areas, cc                                
                                       OSQR, with                                  
                                       schedule and                                
                                       panel                                       
                                       assignments.                                
                                       If project                                  
                                       objectives are                              
                                       revised after                               
                                       PDRAM is                                    
                                       issued, a new                               
                                       PDRAM is                                    
                                       required.                                   

                                                      Review PDRAM;                Area
                                                      implemention                 
                                                      memo to PI/RL,               
                                                      with schedule                

                                                                     Begin         
                                                                     developing    
                                                                     prospectus.   
  ------------- ---------- ----------- -------------- -------------- ------------- ------------

  ------------ ---------- ----------------- ----------- ------------ ----------- ------------
  **Step**     **Lead     **OSQR Role**     **NPS       **Area       **PI/RL     **ARIS
               Office**                     Role**      Role**       Role**      Tracking**

  Final COI    Area                                     Request                  
  List                                                  updated COI              
                                                        list from                
                                                        PI, due with             
                                                        prospectus               

                                                                     Forward     
                                                                     updated COI 
                                                                     lists to    
                                                                     Area        

                                                        Forward                  Area
                                                        updated COI              
                                                        lists to                 
                                                        OSQR, copy               
                                                        NPS                      

                          Use updated COI                                        
                          to                                                     
                          develop/confirm                                        
                          list of potential                                      
                          panelists                                              
  ------------ ---------- ----------------- ----------- ------------ ----------- ------------

  ------------ ---------- ------------ ------------ ------------- ------------- ------------
  **Step**     **Lead     **OSQR       **NPS Role** **Area Role** **PI/RL       **ARIS
               Office**   Role**                                  Role**        Tracking**

  Prospectus   NPS                                                Upon receipt  
  Approval                                                        of PDRAM,     
                                                                  develop       
                                                                  prospectus;   
                                                                  obtain local  
                                                                  approvals;    
                                                                  forward to    
                                                                  Area. If      
                                                                  objectives    
                                                                  are revised   
                                                                  after PDRAM   
                                                                  is issued, a  
                                                                  new PDRAM is  
                                                                  required.     

                                                    Review;                     Area
                                                    request                     
                                                    revision as                 
                                                    necessary,                  
                                                    approve;                    
                                                    forward to                  
                                                    NPS                         

                                       Review;                                  NPS
                                       request                                  
                                       revision as                              
                                       necessary,                               
                                       approve;                                 
                                       forward to                               
                                       OSQR, copy                               
                                       Area                                     

                                                    Copy to                     
                                                    PI/RL;                      
                                                    request                     
                                                    project plan                
                                                    development                 

                                                                  Begin         
                                                                  developing    
                                                                  project plan  

                          Provide                                               
                          prospectus                                            
                          to Panel                                              
                          Chair for                                             
                          selection of                                          
                          panel team                                            

                                       NPS Panel                                
                                       Chair                                    
                                       briefing                                 
  ------------ ---------- ------------ ------------ ------------- ------------- ------------

  ------------ ---------- ----------- ----------- ------------ ------------ ------------
  **Step**     **Lead     **OSQR      **NPS       **Area       **PI/RL      **ARIS
               Office**   Role**      Role**      Role**       Role**       Tracking**

  Project Plan Area                                            Develop      
  Approval                                                     project      
                                                               plan; obtain 
                                                               local        
                                                               approvals;   
                                                               forward to   
                                                               Area         

                                                  Review,                   Area
                                                  request                   
                                                  revision as               
                                                  necessary,                
                                                  approve;                  
                                                  forward to                
                                                  OSQR, copy                
                                                  NPS and                   
                                                  PI/RL                     

                          Provide                                           
                          project                                           
                          plans to                                          
                          panelists                                         
  ------------ ---------- ----------- ----------- ------------ ------------ ------------

  ------------ ---------- ------------- ------------- ----------- ----------- ------------
  **Step**     **Lead     **OSQR Role** **NPS Role**  **Area      **PI/RL     **ARIS
               Office**                               Role**      Role**      Tracking**

  Panel Review OSQR       Notify NPS                                          
  Schedule                and Area of                                         
                          panel dates                                         

  Panel        OSQR       Arrange for   Participate                           
  Briefing                briefing of   in panel                              
                          panel by OSQR briefing                              
                          and NP Team                                         

  Panel        OSQR       OSQR does not                                       
  Meeting                 participate                                         
                          in the panel                                        
                          meeting; OSQR                                       
                          is only                                             
                          available to                                        
                          assist as                                           
                          necessary.                                          

  Report       OSQR       Establish                                           
  Review                  action due                                          
  Results                 dates; send                                         
                          project                                             
                          review                                              
                          results to                                          
                          Area, copy                                          
                          NPS                                                 
  ------------ ---------- ------------- ------------- ----------- ----------- ------------

  --------------- ---------- --------------- ----------- ---------------- ------------ ------------
  **Step**        **Lead     **OSQR Role**   **NPS       **Area Role**    **PI/RL      **ARIS
                  Office**                   Role**                       Role**       Tracking**

  Report Review   Area                                   Review results;               Area
  Results                                                forward to                    
                                                         PI/RL, with Area              
                                                         due date. If                  
                                                         significant                   
                                                         change to                     
                                                         objectives                    
                                                         required,                     
                                                         request new                   
                                                         PDRAM from NPS.               

  Revision and    Area                                                    Revise for   
  Response                                                                PostPlan as  
                                                                          necessary,   
                                                                          exchange     
                                                                          signature    
                                                                          page, and    
                                                                          prepare      
                                                                          responses;   
                                                                          obtain local 
                                                                          approvals;   
                                                                          forward to   
                                                                          Area         

                                                         Review, request               Area
                                                         revision as                   
                                                         necessary,                    
                                                         approve; forward              
                                                         to OSQR, copy                 
                                                         NPS and PI/RL                 

                             Review; request                                           
                             revision if                                               
                             necessary;                                                
                             approve                                                   

                             Once projects                                             
                             are certified,                                            
                             provide                                                   
                             information                                               
                             copies of                                                 
                             PostPlans and                                             
                             Responses to                                              
                             Panel.                                                    

  Certification   OSQR       Provide                                                   
                             Certification                                             
                             to Area, copy                                             
                             NPS                                                       

                                                         Forward                       Area
                                                         Certification to              
                                                         PI/RL, with                   
                                                         instructions for              
                                                         implementation                
                                                         of new project.               
  --------------- ---------- --------------- ----------- ---------------- ------------ ------------

  ------------ ---------- ----------- ----------- ------------- ------------ ------------
  **Step**     **Lead     **OSQR      **NPS       **Area Role** **PI/RL      **ARIS
               Office**   Role**      Role**                    Role**       Tracking**

  Report       Area                               Review                     Area
  Review                                          results;                   
  Results                                         forward to                 
                                                  PI/RL for                  
                                                  discussion of              
                                                  options with               
                                                  NPS, PI/RL,                
                                                  Area. If                   
                                                  significant                
                                                  change to                  
                                                  objectives                 
                                                  required,                  
                                                  request new                
                                                  PDRAM from                 
                                                  NPS. Provide               
                                                  guidance and               
                                                  due dates.                 

                                                  Notify OSQR                
                                                  that project               
                                                  will be                    
                                                  rereviewed.                

  Revision and Area                                             Revise for   
  Response                                                      ReReview as  
                                                                necessary,   
                                                                exchange     
                                                                signature    
                                                                page, and    
                                                                prepare      
                                                                responses;   
                                                                obtain local 
                                                                approvals;   
                                                                forward to   
                                                                Area         

                                                  Review,                    Area
                                                  request                    
                                                  revision as                
                                                  necessary,                 
                                                  approve;                   
                                                  forward to                 
                                                  OSQR, copy                 
                                                  NPS and PI/RL              

                          Review;                                            
                          request                                            
                          revision if                                        
                          necessary                                          
  ------------ ---------- ----------- ----------- ------------- ------------ ------------

  ------------ ---------- ---------------- ----------- ------------- ----------- ------------
  **Step**     **Lead     **OSQR Role**    **NPS       **Area Role** **PI/RL     **ARIS
               Office**                    Role**                    Role**      Tracking**

  ReReview     OSQR       Provide ReReview                                       
                          copies to                                              
                          selected Panel                                         
                          members for                                            
                          second review                                          

                          Obtain completed                                       
                          ReReviews and                                          
                          consolidate into                                       
                          one                                                    
                          Recommendation                                         
                          form                                                   

  Report                  Establish action                                       
  Review                  due dates; send                                        
  Results                 project review                                         
                          result to Area,                                        
                          copy NPS                                               

                                                       Review                    Area
                                                       results;                  
                                                       forward to                
                                                       PI/RL, with               
                                                       Area due                  
                                                       date. If                  
                                                       significant               
                                                       change to                 
                                                       objectives                
                                                       required,                 
                                                       request new               
                                                       PDRAM from                
                                                       NPS. Plans                
                                                       can be                    
                                                       reviewed only             
                                                       twice; if NF              
                                                       or Major                  
                                                       score, see                
                                                       Stage 5b or               
                                                       5c.                       
  ------------ ---------- ---------------- ----------- ------------- ----------- ------------

  --------------- ---------- --------------- ----------- ---------------- ------------ ------------
  **Step**        **Lead     **OSQR Role**   **NPS       **Area Role**    **PI/RL      **ARIS
                  Office**                   Role**                       Role**       Tracking**

  Revision and    Area                                                    Revise for   
  Response                                                                PostPlan as  
                                                                          necessary,   
                                                                          exchange     
                                                                          signature    
                                                                          page, and    
                                                                          prepare      
                                                                          responses;   
                                                                          obtain local 
                                                                          approvals;   
                                                                          forward to   
                                                                          Area         

                                                         Review, request               Area
                                                         revision as                   
                                                         necessary,                    
                                                         approve; forward              
                                                         to OSQR, copy                 
                                                         NPS and PI/RL                 

                             Review, request                                           
                             revision if                                               
                             necessary;                                                
                             approve                                                   

                             Once projects                                             
                             are certified,                                            
                             provide                                                   
                             information                                               
                             copies of                                                 
                             PostPlans and                                             
                             Responses to                                              
                             Panel.                                                    

  Certification   OSQR       Provide                                                   
                             Certification                                             
                             to Area, copy                                             
                             NPS                                                       

                                                         Forward                       Area
                                                         Certification to              
                                                         PI/RL, with                   
                                                         instructions for              
                                                         implementation                
                                                         of new project.               
  --------------- ---------- --------------- ----------- ---------------- ------------ ------------

  -------------- ---------- ------------- ------------ ---------------- ------------ ------------
  **Step**       **Lead     **OSQR Role** **NPS Role** **Area Role**    **PI/RL      **ARIS
                 Office**                                               Role**       Tracking**

  Report Review  Area                                  Review results;               
  Results                                              forward to PI/RL              
                                                       for discussion                
                                                       of options with               
                                                       NPS, PI/RL,                   
                                                       Area.                         

                                                       Coordinate                    Area note
                                                       postpone request              intention
                                                       from PI/RL.                   

                                                       Notify OSQR of                
                                                       intention to                  
                                                       postpone.                     

  Rescheduling   OSQR       Upon approval                                            NPS
                            of postpone                                              
                            request,                                                 
                            schedule                                                 
                            project into                                             
                            ad hoc                                                   
                            session;                                                 
                            provide                                                  
                            schedule                                                 
                            information                                              
                            to NPS and                                               
                            Area                                                     

                                                       Provide schedule              
                                                       information to                
                                                       PI/RL                         

  PDRAM          NPS                      At startup                                 NPS
                                          of ad hoc                                  
                                          session,                                   
                                          develop and                                
                                          issue PDRAM                                
                                          to Area, cc                                
                                          OSQR. If                                   
                                          project                                    
                                          objectives                                 
                                          are revised                                
                                          after PDRAM                                
                                          is issued, a                               
                                          new PDRAM is                               
                                          required.                                  

                                                       Review PDRAM;                 Area
                                                       implementation                
                                                       memo to PI/RL.                

                                                                        Begin        
                                                                        developing   
                                                                        prospectus   

  Continue with                                                                      
  Stage 2                                                                            
  -------------- ---------- ------------- ------------ ---------------- ------------ ------------

  ------------- ---------- ------------- -------------------------- ------------------------- ----------- -------------
  **Step**      **Lead     **OSQR Role** **NPS Role**               **Area Role**             **PI/RL     **ARIS
                Office**                                                                      Role**      Tracking**

  Report Review Area                                                Review results; forward               
  Results                                                           to PI/RL for discussion               
                                                                    of options with NPS,                  
                                                                    PI/RL, Area.                          

                                                                    Initiate memo requesting              Area note
                                                                    termination/redirection               intention

                                                                    Notify OSQR of intent to              
                                                                    terminate/redirect                    

  Redirection   NPS                      Upon approval of                                                 NPS to show
                                         termination/redirection,                                         disposition
                                         develop and issue PDRAM to                                       of project
                                         Area, copy OSQR, to                                              
                                         redirect resources, and if                                       
                                         necessary to request                                             
                                         scheduling of ad hoc                                             
                                         sessions for resulting                                           
                                         projects,                                                        

                                                                    Review PDRAM;                         
                                                                    implementation memo to                
                                                                    PI/RL                                 

                                                                                              Initiate    
                                                                                              necessary   
                                                                                              ARIS        
                                                                                              actions     
                                                                                              required by 
                                                                                              PDRAM       

                           Per PDRAM,                                                                     
                           schedule                                                                       
                           project(s)                                                                     
                           into ad hoc                                                                    
                           session(s) as                                                                  
                           necessary;                                                                     
                           provide                                                                        
                           schedule                                                                       
                           information                                                                    
                           to NPS and                                                                     
                           Area                                                                           
  ------------- ---------- ------------- -------------------------- ------------------------- ----------- -------------

  ------------ ---------- ----------- ----------- --------------------- ----------- ------------
  **Step**     **Lead     **OSQR      **NPS       **Area Role**         **PI/RL     **ARIS
               Office**   Role**      Role**                            Role**      Tracking**

  Report       Area                               Review results;                   
  Review                                          forward to PI/RL for              
  Results                                         discussion of options             
                                                  with NPS, PI/RL,                  
                                                  Area.                             

                                                  Coordinate postpone               Area notes
                                                  or terminate/redirect             intention
                                                  request from PI/RL                

                                                  Notify OSQR of                    
                                                  intention to request              
                                                  postpone or                       
                                                  terminate/redirect;               
                                                  cc NPS                            

  Recovery and Area                               Upon notification of              Area
  schedule                                        disapproval of                    
  adjustment                                      postpone or                       
                                                  terminate/redirect                
                                                  request, verify                   
                                                  2-week schedule                   
                                                  adjustment with OSQR.             
                                                  If significant change             
                                                  to objectives                     
                                                  required, request new             
                                                  PDRAM from NPS.                   
                                                  Notify PI/RL to begin             
                                                  revision process with             
                                                  adjusted schedule.                

  Continue                                                                          
  with Stage                                                                        
  5a                                                                                
  ------------ ---------- ----------- ----------- --------------------- ----------- ------------

  ---------------- ---------- ----------- -------------- -------------- ------------- ------------
  **Step**         **Lead     **OSQR      **NPS Role**   **Area Role**  **PI/RL       **ARIS
                   Office**   Role**                                    Role**        Tracking**

  Implementation   Area                                                 Initiate ARIS 
  of New Project                                                        action to     
                                                                        establish new 
                                                                        416/417 based 
                                                                        on            
                                                                        information   
                                                                        in certified  
                                                                        project plan; 
                                                                        review;       
                                                                        obtain local  
                                                                        approvals;    
                                                                        approve to    
                                                                        Area          

                                                         Review to                    Area
                                                         assure                       
                                                         information                  
                                                         reflects                     
                                                         project plan,                
                                                         termination                  
                                                         date and                     
                                                         coding are                   
                                                         appropriate;                 
                                                         approve to NPS               

                                          Review to                                   NPS - new
                                          assure                                      project info
                                          information                                 
                                          reflects                                    
                                          project plan,                               
                                          appropriate                                 
                                          termination                                 
                                          date. Review                                
                                          coding and add                              
                                          NPS-entered                                 
                                          codes as                                    
                                          necessary.                                  
                                          Expire old                                  
                                          project when                                
                                          funds have                                  
                                          been                                        
                                          transferred.                                

  Reports          OSQR       Provide NPS                                             
                              and Area                                                
                              with copies                                             
                              of panel                                                
                              summary                                                 
                              report for                                              
                              session.                                                
  ---------------- ---------- ----------- -------------- -------------- ------------- ------------

**Tracking Documents**

**[Naming files*:*]{.underline}**

 

NPS PDRAM: NP# Lead Scientist Project \# PDRAM

***303 Oscar 1234-56789-000-00D PDRAM***

Prospectus: NP# Lead Scientist Project \# P

***303 Oscar 1234-56789-000-00D P***

Conflicts of Interest List: NP# Lead Scientist Project \# COI

***303 Oscar 1234-56789-000-00D COI***

Project PrePlan: NP# Lead Scientist Project \# PrePlan

***303 Oscar 1234-56789-000-00D PrePlan***

Project PrePlan Appendix: NP \# Lead Scientist Project \# PrePlan-App

***303 Oscar 1234-56789-000-00D PrePlan-App***

Project PostPlan: NP# Lead Scientist Project \# PostPlan

***303 Oscar 1234-56789-000-00D PostPlan***

Project PostPlan Appendix: NP \# Lead Scientist Project \# PostPlan-App

***303 Oscar 1234-56789-000-00D PostPlan-App***

Project Re-Review Plan: NP# Lead Scientist Project \# RRPlan

***303 Oscar 1234-56789-000-00D RRPlan***

Project Re-Review Plan Appendix: NP \# Lead Scientist Project \#
RRPlan-App

***303 Oscar 1234-567879-000-00D RRPlan-App***

ARS Response: NP# Lead Scientist Project \# Response

***303 Oscar 1234-56789-000-00D Response***

Certification: NP# Lead Scientist Project \# Certification

***303 Oscar 1234-56789-000-00D Certification***

Note: Use complete project number in file names.

When the panel recommendations form is completed with the ARS responses,
replace the words "Panel Recommendations" with "Response". *Example: 303
Oscar 1234-56789-000-00D PanelRecommendations with 303 Oscar
1234-56789-000-00D Response.*

* *

If the scientist updates the COI, then follow the file name as above but
insert the current date. Example: 303 Oscar 1234-56789-000-00D COI
(Updated 9-16-04)

 

No dates in the file names unless it is the updated COI list.

**[Document Transfer:]{.underline}**

***Transfer of peer review documents to OSQR from Area Offices.***  All
versions of the project plans should be sent electronically to OSQR as
PDF files (preferred) or Word documents.  If PDF files are provided, no
hard copies are required, except that for the Post-Project Plan, a hard
copy of the signature page only, with the original Area Director
signature, must be sent by FedEx or certified mail. If Word documents
are provided, a hard copy of the entire project plan, including
appendices, must be sent by FedEx or certified mail. Wherever possible,
the project plan file should include all appendices and letters of
collaboration. If this is not possible, these items can be included in a
second, separate PDF or Word file, named as noted above. Submit each
document to OSQR attached to separate e-mails; add the note "1 of 2" or
"2 of 2" as part of the e-mail subject line to assure that OSQR can
retrieve both e-mails at the same time. The COI lists and the Response
to Reviewer Recommendations must be sent to OSQR as Word documents,
e-mail attachments.  Conflicts of Interest lists for a single project
should be combined into one separate file. Information copies of
Requests for Postponement or Termination/Redirection will be sent
electronically to OSQR as Word files.

***Transfer of peer review documents to OSQR from the National Program
Staff.***  Approved prospectus must be sent electronically as Word
documents to OSQR and the appropriate Area Offices.

***Transfer of peer review documents to National Program Staff from Area
Offices.*** Prospectus and information copies of the COI lists and ARS
Response forms must be sent electronically to NPS as Word documents.
Copies of all versions of project plans may be sent electronically to
NPS as PDF files or Word documents. Requests for Postponement or
Termination/Redirection must be sent electronically to NPS as Word
documents.

***Transfer of peer review documents to Area Offices from the National
Program Staff.*** PDRAMs will be sent electronically to Area Offices as
PDF files. Schedules will be sent electronically to Area Offices as Word
documents. Approvals or Disapprovals of Requests for Postponement or
Termination/Redirection will be sent electronically to Area Offices as
Word documents. *** ***

***Transfer of peer reviews from the OSQR.***  Peer reviews are
electronically sent as Word documents to the appropriate Area Director
and Area Program Analyst.  Copies are sent to the National Program Team
and Program Analyst.

**[Electronic mail:]{.underline}** All electronic mail pertaining to the
peer review process should note the name of the review session or the
National Program on the subject line.  If the message pertains to a
specific project, the subject line should include the lead scientist's
name and research project number. For split project plan files, attach
each document to separate e-mails; add the note "1 of 2" or "2 of 2" as
part of the e-mail subject line to assure that both e-mails can be
retrieved at the same time.

**Conflicts of Interest Format**

Use the template or create a separate two-column table for each Category
1 or 4 scientist on the project, as well as any cooperating
investigators not employed by ARS who will be considered an investigator
on the project. Each investigator listed on the cover sheet of the
prospectus must provide a Conflicts of Interest list. The tables should
have one column for the full name and the other column for defining
relationship with the individual. Lists should include those individuals
with which the SY has co-authored papers, conducted or planned research
(including that planned in grant proposals), or supervised or been
supervised in the past four years (all student and postdoctoral
relationships apply that occurred during the past eight years). Other
possible conflicts of interest such as individuals who have a financial
stake in the research, should be discussed with the OSQR. Please state
each person\'s FULL name (include middle initial or name, as
appropriate). If the individual has no middle initials, insert (NMI)
where the initial would normally appear (e.g., John (NMI) Smith). If the
individual's legal name is initials and not a name, insert (IO) into the
name (e.g., J J (IO) Smith). This will indicate to OSQR that the entry
has been checked for accuracy.

The Conflicts of Interest lists are contained in one combined file for
the project and are submitted separately from other documents.

The COI lists should have a header on all pages, with lead scientist\'s
name at the left and page numbers placed flush right. It should also
have a footer on all pages, with version date at the left and filename
placed flush right.

**Prospectus Format**

Create a file in MS Word and submit electronically through supervisory
channels. Example file name: 303 Oscar 1234-56789-000-00D P

-   The prospectus should be formatted as follows:

    -   8.5x11 letter portrait

    -   Single spaced

    -   11-pt Arial or Helvetica font

    -   1\" margins all around

    -   Left justified

    -   No end-of-line hyphens

    -   Header on all pages with lead scientist\'s name at the left and
        page numbers placed flush right, excluding the cover page. Begin
        page numbering with page 1 for the cover page, but do not show
        page number on the cover page.

    -   Footer on all pages with version date at the left and filename
        placed flush right

-   For tables, omit all vertical lines; place single horizontal lines
    under the title, under the column headings, and at the bottom of the
    table, just above any footnotes. Do not enclose tables or figures
    with lines or other borders.

-   This short document (no more than five (5) pages, excluding the
    cover page) should describe the proposed project in terms of
    objectives, need for research, and approach and research procedures.

-   As much as possible, the information should be abbreviated in the
    form of bullet statements and flow charts.

-   The prospectus should flow from one section to the next without new
    page breaks.

**Prospectus Outline**

**Cover Page**

*National Program* ---Title of the National Program under which the
research described below is conducted.

*Dates* --- General period in which the research project will be peer
reviewed.

*Old Research Project Number* --- Project number for the expiring
project. If projects are being combined, list those that are being
combined. If a project is being split, note that the old project is
being split during this process.

*Research Management Unit* --- Name of Research Management Unit (e.g.,
Areawide Pest Management)

*Location* --- City and State.

*Title* --- A brief, clear, specific description of the proposed
project. Used alone, it should provide an indication of what the project
is about. It should not contain more that 140 characters including
letters, symbols and spaces. It is preferred that the new project be
titled differently from the old project.

*Investigator(s)* --- List all scientists assigned to conduct the
research being planned and their percent commitment to the project,
shown in decimal format (e.g., 0.50, 1.00). This will include all ARS
Category 1 or 4 scientists assigned to the project and possibly non-ARS
scientists. Any non-ARS scientist must function in a role equivalent to
an ARS Category 1 or 4 scientist. Identify the Lead Scientist. All
scientists not employed by ARS need to be identified as \'non-ARS\'
scientists. The investigator list should reflect what is proposed for
the new project, and need not match the SY listing of the current
project in ARIS. Everyone on the list must prepare a [Conflicts of
Interest](http://www.ars.usda.gov/sp2UserFiles/Subsite/sciQualRev/COIExample.pdf)
list.

*Scientific Staff Years* --- List as a decimal, i.e., 2.75.

*Planned Duration* --- List in terms of total months, i.e., 60 months.

*Signatures* --- On the electronic copy of the Cover Page, submit
electronic signatures using **/s/** as the standard. OSQR only accepts
prospectuses that demonstrate all approvals by the 1) the Research
Leader; 2) Lab, Institute, or Center Director; 3) Area Director, and 4)
the National Program Leader. For labs that have a 3-tier organizational
structure (vs. the 4-tier organization that is implied on the
coversheet), you may combine the first and second signature block. If
your lab uses a different title for the Research Leader or Center
Director, you may edit the titles accordingly. The National Program
Staff turns in the final versions of prospectuses to OSQR and the
appropriate Area Offices.

\*\*\*\*\*\*Begin the first of your 5-page prospectus here. \*\*\*\*\*\*

**Key Words**

Provide a list of 6-10 keywords that describe the project.

**Objectives**

A clear statement of the specific objectives of the project that are
attainable within the time period (not to exceed 5 years) and resources
committed to the project. The statement should be complete enough to be
used as the basis for scientific review.

**Need for Research**

List each of the following briefly:

-Description of the problem to be solved.\
-Relevance to ARS National Program Action Plan.\
-Potential benefits expected from attaining objectives.\
-Anticipated products of the research.

-Customers of the research and their involvement.

> The section describing \'customers\' now requires that specific
> statements about the customers be made. Avoid general comments such as
> \"Our key customer is the pork industry.\" Explain other
> characteristics that help reviewers understand the scope of the
> customers, such as:
>
> 1\. Regional
>
> 2\. Farm size
>
> 3\. Environmental or ecological
>
> 4\. Specific government agencies (federal, state, or local)
>
> 5\. Business types, including business associations
>
> It\'s a good idea to give the reviewers a few examples of the typical
> customers and if possible, new customers who might unexpectedly
> benefit from the success of the research.

**Scientific Background**

For the Prospectus, only describe how your project is coordinated with
other projects (list them) to form a larger effort that addresses some
aspect of the National Program. Also of relevance here are projects that
do similar work, but you are not directly collaborating with them to
attain your stated objectives. List those projects and describe how you
are coordinating your efforts.

**Approach and Research Procedures**

For each objective, identify the hypothesis to be tested (if any. See
section on [hypothesis-driven
research](ftp://ftp.nps.ars.usda.gov/OSQR/hypothesis-drivenresearch.pdf)
and [non-hypothesis-driven
research](ftp://ftp.nps.ars.usda.gov/OSQR/non-hypothesis-drivenresearch.pdf),
page X), the experimental approaches, and the specific research
procedures that will be used. List contingency approaches and
experimental options that will be considered if the initial research
plan is unsuccessful in evaluating hypotheses or attaining objectives.

**Collaborations**

Collaborations with scientists outside of this project (ARS and external
to ARS) that are necessary to attaining the objectives should be listed
here.

**Project Plan Format**

Create a Word file according to these instructions. Example file name:
303 Oscar 1234-56789-000-00D PrePlan

-   The project plan should be formatted as follows:

    -   8.5x11 letter portrait

    -   Single spaced

    -   11-pt Arial or Helvetica font

    -   1\" margins all around

    -   Left justified

    -   No end-of-line hyphens

    -   Header on all pages with lead scientist\'s name at the left and
        page numbers placed flush right, excluding the cover page. Begin
        page numbering with page 1 for the cover page, but do not show
        page number on the cover page.

    -   Footer on all pages with version date at the left and filename
        placed flush right

-   For tables (excluding Milestone table), omit all vertical lines;
    place single horizontal lines under the title, under the column
    headings, and at the bottom of the table, just above any footnotes.
    Do not enclose tables or figures with lines or other borders.

-   Avoid creating color graphics, unless necessary to thoroughly
    describe your plan or demonstrate scientific analyses. If color
    graphics are included and considered necessary, a note must
    accompany the plan stating that it must be printed in color.
    However, do not type on the plan \"Please print in color.\"

-   Do not create attachments. Wherever possible, the project plan file
    should include all appendices and letters of collaboration. If this
    is not possible, these items can be included in a second, separate
    PDF or Word file, named in the convention 303 Oscar
    1234-56789-000-00D PrePlan-App, with page numbers continuing in
    sequence from main file.

The plan should not exceed:      \<2 Scientific Years = 15 pages\
                                            2-3.9 Scientific Years = 20
pages\
                                            4-6.9 Scientific Years = 25
pages\
                                                \>7 Scientific Years =
30 pages\
from **Objectives** through **Project Management and Evaluation**. Up to
two pages of schemes, figures, and diagrams can be included in the text
and will not be counted against the page limit. This first part should
flow from one section to the next without new page breaks.

The Cover Page, Signature Page, Table of Contents, Project Summary,
Objectives, Accomplishments from Prior Project Period, Literature Cited,
Past Accomplishments of Each Investigator, Health, Safety, and Other
Issues of Concern Statement, and Appendices should all be started on new
pages.

**Project Plan Outline**

**Cover Page** (same as cover for prospectus, without signature blocks)

*National Program* \-- Title of the National Program under which the
research described below is conducted.\
*Dates* \-- General period in which the research project will be peer
reviewed.\
*Old Research Project Number* \-- The project number for the expiring
project. If projects are being combined, list those that are being
combined. If a project is being split, note that the old project is
being split during this process.\
*Research Management Unit \--* Name of Research Management Unit (e.g.,
Areawide Pest Management)

*Location* \-- City and State.**\
***Title* \-- A brief, clear, specific description of the proposed
project. Used alone, it should provide a clear indication of what the
project is specifically about. It should not contain more than 140
characters including letters, symbols and spaces. This should match the
title used on the prospectus.\
*Investigator(s)* \-- List all scientists assigned to conduct the
research being planned and their percent commitment to the project,
shown in decimal format (e.g., 0.50, 1.00). This will include all ARS
[Category 1 or 4](http://www.ars.usda.gov/pdf/definitioncategory1-4.pdf)
scientists assigned to the project and possibly non-ARS scientists.
Identify the Lead Scientist. All scientists not employed by ARS need to
be identified as \'non-ARS\' scientists. The investigator list should
reflect what is proposed for the new project, and need not match the SY
listing of the current project in ARIS. Everyone on the list must have
an accomplishments section in the back of the plan.\
*Scientific Staff Years* \-- List as a decimal, i.e., 2.75. (Does not
include scientists not employed by the ARS. However to determine the
page limit, calculate an equivalent scientific year for non-ARS
scientists.)\
*Planned Duration* \-- List in terms of total months, i.e., 60 months.

**Signatures** (new page)

Insert the appropriate Signature Page template, depending on whether the
plan is the PrePlan, a ReReview, or the PostPlan.

**Table of Contents** (new page)

Insert a table of contents.

**Project Summary** (new page)

The objectives and research approaches of the project plan should be
summarized in 250 words or less on the second page. The first four pages
of the project plan are not counted against the page limit.

**Objectives** (new page)

A clear statement must be given of the specific objectives of the
project that are attainable within the project time period (not to
exceed 5 years) and with the physical resources committed to the project
as discussed in the Approach and Research Procedures section. The
statement should be complete enough to be used as the basis for
scientific review. Elaborate, in paragraph form, the bullet statements
from the Prospectus.

**Need for Research**

A statement that provides information necessary for the review of the
project based on its relevance to ARS National Program action plans. Use
subsections to denote the following, which must be covered:

· Description of the problem to be solved.\
· Relevance to ARS National Program Action Plan.\
· Potential benefits expected from attaining objectives.\
· Anticipated products of the research.

· Customers of the research and their involvement. (Be specific)

> The section describing \'customers\' now requires that specific
> statements about the customers be made. Avoid general comments such as
> \"Our key customer is the pork industry.\" Explain other
> characteristics that help reviewers understand the scope of the
> customers, such as:
>
> 1\. Regional
>
> 2\. Farm size
>
> 3\. Environmental or ecological
>
> 4\. Specific government agencies (federal, state, or local)
>
> 5\. Business types, including business associations

**Scientific Background**

Try to avoid repeating information already provided in the \"Need for
Research\" section. The \"Scientific Background\" section should mainly
focus on presenting and discussing relevant literature and technology
relating to the stated objectives and scientific feasibility of the
project plan. This section should cite relevant literature and key
papers in the field, only. It is not intended to serve as a
comprehensive bibliography. The literature cited should be sufficient to
allow peer reviewers to conclude the investigators have current
knowledge and understanding of the field of study. Results of past
projects or other preliminary results of the investigators relevant to
the current project plan should also be presented and discussed in this
section. This section should also include information resulting from a
CSREES-CRIS search. If applicable, try to show how the project is
coordinated or associated with other ongoing research projects. For the
CRIS search, cite the CRIS project number, title, location and describe
in a few sentences its relationship to the project. It is not necessary
to cite every CRIS project that is listed using the keywords for the
search. Only include the truly relevant projects, perhaps five at most.
If the investigator is aware of other, non ARS research relevant to the
project it is also a good idea to refer to them in this section. Cite
the lead investigator(s), institution, and briefly describe the
relationship to the research outlined in your project plan. Some of
these projects might be mentioned again under \"collaborations\" in the
\"Approaches and Procedures\" section. It is important that peer
reviewers can conclude the investigators are aware of and are forthright
about others performing similar research.

Lastly, according to instructions from the National Program Leader and
Area Director, describe Congressional mandates, if applicable, related
to the project. Also, document patent searches if the project deals with
product or technology development.

**Approach and Research Procedures - Use three subsections under this
heading to elaborate on the following:**

***Experimental Design*** - Describe in detail the scientific and
experimental approach that is to be used and the research procedures
that will be followed to attain objectives. For each objective or
subobjective, if applicable, state what hypotheses will be tested and
how the hypotheses will be tested. Hypotheses may not be appropriate for
some research projects.  However, a clear statement of the information
that is expected to be discovered/obtained and how this information will
be used is required.  In either case, discuss how the experimental
results will be evaluated.

***Contingencies*** - Discuss approaches and experimental options that
will be considered if the initial research plan is unsuccessful in
evaluating hypotheses or attaining objectives.

***Collaborations** *- Describe collaborations with scientists outside
of this project (ARS and external to ARS) that are necessary to
attaining the objectives. Necessary is meant to mean required for a
successful project outcome. Necessary collaborations should be
documented by an appended electronic letter from the scientist briefly
detailing the collaboration. The letters of intent to collaborate must
discuss what the collaborator will do and what level of commitment is
anticipated.

If appropriate, sets of the above subsections may be used for each major
objective.

**Physical and Human Resources**

Describe availability of major physical resources (i.e., facilities,
major instrumentation and equipment, etc.) that are necessary to
accomplish the research. Estimate the number (FTE) of non-Cat. I project
personnel (postdocs, technicians, students, etc.) who will be available
for this project.

**Project Management and Evaluation**

Projects composed of a number of investigators should describe the
overall project management and evaluation process. The purpose of this
section is to provide the panel with an overview of project management
in terms of evaluating progress toward the objectives, changes in
approaches, and documentation of these changes. This section would
provide a basis for demonstrating to the panel how the project team
functions and makes decisions about changes. The summary of this
information during the lifecycle of the project would be linked to the
Annual Report of Progress (AD-421). This section should be no longer
than 1/2 page.

**Milestones and Expected Outcomes** (new page)

Insert a [Milestone
table](http://www.ars.usda.gov/SP2UserFiles/Subsite/sciQualRev/ProjectMilestoneTable5-13-2005.DOC)
(using this format: orientation: portrait; font: 9 pt Arial Narrow).
Describe a series of milestones (points in the project where
significant planned accomplishments can be documented) for the life of
the project. These milestones are identified for each objective and
hypothesis of the project along with the scientists responsible for each
milestone. Milestones will be linked to the Annual Report of Progress
(AD-421) to document the progress each year and the changes in
milestones for the next year. This table can be exported from the
project plan and maintained by the lead scientist for the project.
Describe how progress will be documented through products (e.g.,
scientific papers, databases, germplasm releases, technology transfer,
CRADAs). The Milestone table template is included on page 45. An example
of a Milestone table is included in the Examples section, page 46.

> Examples of Hypothesis Statement* *
>
> Genetic background in elm influences the severity of leaf scorch
> symptoms.
>
> Intensity of tillage does not affect soil organic matter distribution
> and carbon flux from the soil surface.
>
> Diet composition in swine does not affect the composition of manure or
> the pathogen content in manure.
>
> Examples of Milestone Statements
>
> Evaluation of GC/MS method to quantify levels of volatile organic
> compounds in air samples.
>
> Assessment of the validity of a rapid screening process for detection
> of nematodes in soil samples.
>
> Evaluation of the performance of SWAT model to estimate water quality
> in corn-soybean watersheds.
>
> Examples of Products 
>
> Research paper on variation in nitrogen mineralization rates across a
> combination of soils and manures.
>
> Database that includes meteorological, plant growth, and soil carbon
> data from multiple crop rotations, soils, and climates.
>
> Germplasm release.
>
> Technology transfer agreement with a commercial company to market a
> widget developed from ARS research.

**Accomplishments from Prior Project Period** (new page)

This section summarizes the research accomplishments and impact from
non-bridging research project(s) relevant to this project plan that is
current or terminated within the last [two]{.underline} years.  The
purpose of this section is to provide the reviewers with a description
of the accomplishments and impact from the previous efforts that are
related to the project plan being reviewed.  The following information
must be provided and should not exceed 2 pages.  These pages are not in
the project plan page limit.

 

1.  Terminating research project number

2.  Title

3.  Project period (beginning and ending dates)

4.  Investigators and FTE

5.  Project accomplishments and impact

     For each objective in the current or terminated project plan
provide the following:

     a. Summary of the most significant accomplishments and their
related impact.  Cite most significant publications resulting from this
research.  Mark all publications derived from this research project with
asterisk in the Past Accomplishment section for each investigator.

      b. If necessary, provide a synopsis of changes in the objectives
and the reasons for the changes.

      c. Describe how the objectives and accomplishments relate to the
proposed objectives.

 

**Literature Cited** (new page)

Begin the Literature Cited on a new page. Literature can be listed
alphabetically by author or in order of citation in the text. If papers
are cited by author(s) and year, they must be listed alphabetically in
the Literature Cited section. However, any citation format accepted by a
scientific journal that includes all authors, article title, and
complete page numbers may be used. Only material or papers that are
published or in press should be provided in this section. Theses and
dissertations, state and federal documents intended for professional
distribution, and peer-reviewed proceedings of meetings generally are
acceptable citations. Meeting abstracts, unpublished materials, and
non-peer-reviewed materials are not acceptable as citable materials.

**Past Accomplishments of Investigator(s)** (new page)

All investigators listed on the project plan cover sheet must have a
section for past accomplishments. Begin each investigator\'s past
accomplishments on a new page. In one single-spaced page or less per
scientist, provide education and work experience, and describe
accomplishments of the investigator(s) of this project over the past 10
years that are significant and pertinent to the proposed research.

Follow each investigator\'s past accomplishments with a list of the most
relevant 20 peer-reviewed publications authored by the investigator.

Order the publications according to publication date, most recent last.
Any citation format accepted by a scientific journal that includes all
authors, complete article title, and complete page numbers may be used.

**Health, Safety, and Other Issues of Concern Statement** (new page)

Address the safety concerns for ten issues, including identification of
necessary permits either in hand or requested. If not relevant, please
state as such.\
· Animal Care\
· Endangered Species\
· Environmental Impact Statement - Scientists and their Research Leaders
shall make a determination on the potential environmental impact of the
research. Many ARS research projects are conducted in contained
facilities such as laboratories, greenhouses, or field plots. Such
projects would be considered to the Categorically Excluded under ARS
National Environmental Policy Act regulations. Project statements would
then include the following statement: \"THE RESEARCH PROJECT HAS BEEN
EXAMINED FOR POTENTIAL IMPACTS ON THE ENVIRONMENT AND HAS BEEN FOUND TO
BE CATEGORICALLY EXCLUDED UNDER ARS REGULATIONS FOR THE NATIONAL
ENVIRONMENTAL POLICY ACT.\" The appropriate NPL(s), in discussion with
the scientist about a replacement project, will decide whether it is
Categorically Excluded.\
· Human Study Procedure - Research teams under the Human Nutrition
National Program should document how they have complied with the legal
requirements for using human subject here.\
· Laboratory Hazards\
· Occupational Safety & Health\
· Recombinant DNA Procedures - The IBC license number must be included
in the project plan if there is work with recombinant DNA.\
· Homeland Security\
· Intellectual Property

· Existing SCAs - Describe any existing SCA in the collaboration section
of the specific project objective and in the letter from the cooperator.

**Appendix** (new page)

On a new page, list appendices by page number. If appendices cannot be
included with the main text file, they may be combined as one file and
submitted as a second PDF or Word file. The appendices file should be
set to begin numbering as continuation of the main text file, so that
when assembled as one hardcopy document, the numbering will be
consecutive. Letters of collaboration should be included here, as well
as any other supplementary materials that are essential to the plan.
Scan or paste the collaborators letters into the project plan appendices
after the list of appendices page. Use of figures, schemes, and tables
can greatly enhance the plan. Provide other explanatory material here.

Remember, up to two pages of figures, schemes, and tables will not be
counted as part of the 15-30 page limit.

**COI Template**

**CONFLICTS OF INTEREST**

**Project Plan Prospectus Addendum**

**NP Number, Research Project Number**

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

List those individuals with which you (each investigator on the proposed
project plan) have co-authored papers, conducted or planned research
(including that planned in grant proposals), or supervised or been
supervised in the past four years (All student and postdoctoral
relationships apply that occurred during the past eight years). Other
possible conflicts of interest should be discussed with the OSQR. You
must spell out each person's full name.

  ----------------------------------- -----------------------------------
  **Name**                            **Relationship**

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

                                      

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

**PrePlan Signature Page, with block for both RL and CD/LD/ID**

**Pre-Peer Review**

**[(Signature and Dates Must Be Complete Prior to Distributing this
Project Plan to Peer Reviewers)]{.smallcaps}**

**Lead Scientist, Project Number and Title**

This project plan was found to meet the peer review criteria, to be in
compliance with the Project Plan Instructions and Format, and
demonstrate how the research team will conduct research in a manner
appropriate for this area of research. The funds committed toward this
project are sufficient to support the planned research.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Research Leader Date

This project plan was prepared by a qualified research team and
demonstrates the research team's best effort towards achieving the
assigned research objectives.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Center, Institute or Lab Director Date

This project plan was prepared by a qualified research team and
demonstrates the research team's best effort towards achieving the
assigned research objectives. All internal review and approval
requirements have been met. This project plan is relevant to the
Agricultural Research Service's National Program \[enter NP \# and
title\] Action Plan and was prepared in accordance with the outlined
objectives, experimental approach, and project duration previously
agreed to by the National Program Team and Research Team. To validate
the plan's readiness for implementation and gain recommendations for
improvement, the project plan is now available for peer review.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Area Director Date

*These officials have not performed a scientific merit peer review.
Their statements do not necessarily require expertise in the scientific
subjects associated with this research. The approval to implement this
project plan cannot be made without scientific peer review coordinated
by the Office of Scientific Quality Review, ARS, USDA.*

**PostPlan Signature Page, with block for both RL and CD/LD/ID**

**Post-Peer Review Signature Page**

**Lead Scientist, Project Number and Title**

This project plan was revised, as appropriate, according to the peer
review recommendations and/or other insights developed while considering
the peer review recommendations. A response to each peer review
recommendation is attached. If recommendations were not adopted, a
rationale is provided.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Research Leader Date

This final version of the project plan reflects the best efforts of the
research team to consider the recommendations provided by peer
reviewers. The responses to the peer review recommendations are
satisfactory.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Center, Institute or Lab Director Date

The attached plan for the project identified above was created by a team
of credible researchers and internally reviewed and recognized by the
team's management and National Program Leader to establish the project's
relevance and dedication to the Agricultural Research Service's mission
and Congressional mandates. It reflects the best efforts of the research
team to consider the recommendations provided by peer reviewers. The
responses to the peer review recommendations are satisfactory. The
project plan has completed a scientific merit peer review in accordance
with the Research Title of the 1998 Farm Bill (PL105-185) and was deemed
feasible for implementation. Reasonable consideration was given to each
recommendation for improvement provided by the peer reviewers.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Area Director (original signature required)** Date

**ReReview Plan Signature Page, with block for both RL and CD/LD/ID**

**Re-Review Signature Page**

**[(Signature and Dates Must Be Complete Prior to Distributing this
Project Plan to Peer Reviewers)]{.smallcaps}**

**Lead Scientist, Project Number and Title**

This project plan was revised according to the recommendations made by
the panel. It is found to meet the peer review criteria and to be in
compliance with the project plan instructions and format, and
demonstrate how the research team will conduct research in a manner
appropriate for this area of research. The funds committed toward this
project are sufficient to support the planned research.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Research Leader Date

This project plan was prepared by a qualified research team and
demonstrates the research team's best effort towards achieving the
assigned research objectives.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Center, Institute or Lab Director Date

This project plan was prepared by a qualified research team and
demonstrates the research team's best effort towards achieving the
assigned research objectives. All internal review and approval
requirements have been met. This project plan is relevant to the
Agricultural Research Service's National Program \[enter NP \# and
title\] Action Plan and was prepared in accordance with the outlined
objectives, experimental approach, and project duration previously
agreed to by the National Program Team and Research Team. To validate
the plan's readiness for implementation and gain recommendations for
improvement, the project plan is now available for peer review.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Area Director Date

*These officials have not performed a scientific merit peer review.
Their statements do not necessarily require expertise in the scientific
subjects associated with this research. The approval to implement this
project plan cannot be made without scientific peer review coordinated
by the Office of Scientific Quality Review, ARS, USDA.*

**PrePlan Signature Page, combined RL and CD/LD/ID**

**Pre-Peer Review**

**[(Signature and Dates Must Be Complete Prior to Distributing this
Project Plan to Peer Reviewers)]{.smallcaps}**

**Lead Scientist, Project Number and Title**

This project plan was found to meet the peer review criteria, to be in
compliance with the Project Plan Instructions and Format, and
demonstrate how the research team will conduct research in a manner
appropriate for this area of research. The funds committed toward this
project are sufficient to support the planned research. This project
plan was prepared by a qualified research team and demonstrates the
research team's best effort towards achieving the assigned research
objectives.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_

RL or CD/LD Date

This project plan was prepared by a qualified research team and
demonstrates the research team's best effort towards achieving the
assigned research objectives. All internal review and approval
requirements have been met. This project plan is relevant to the
Agricultural Research Service's National Program \[enter NP \# and
title\] Action Plan and was prepared in accordance with the outlined
objectives, experimental approach, and project duration previously
agreed to by the National Program Team and Research Team. To validate
the plan's readiness for implementation and gain recommendations for
improvement, the project plan is now available for peer review.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Area Director Date

These officials have not performed a scientific merit peer review. Their
statements do not necessarily require expertise in the specific subjects
associated with this research. The approval to implement this project
plan cannot be made without scientific peer review coordinated by the
Office of Scientific Quality Review, ARS, USDA.

**ReReview Signature Page, combined RL and CD/LD/ID**

**Re-Review**

**Lead Scientist, Project Number and Title**

This project plan was revised according to the recommendations made by
the panel. It is found to meet the peer review criteria and to be in
compliance with the project plan instructions and format, and
demonstrate how the research team will conduct research in a manner
appropriate for this area of research. The funds committed toward this
project are sufficient to support the planned research. This project
plan was prepared by a qualified research team and demonstrates the
research team's best effort towards achieving the assigned research
objectives.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_

RL or CD/LD Date

This project plan was prepared by a qualified research team and
demonstrates the research team's best effort towards achieving the
assigned research objectives. All internal review and approval
requirements have been met. This project plan is relevant to the
Agricultural Research Service's National Program \[enter NP \# and
title\] Action Plan and was prepared in accordance with the outlined
objectives, experimental approach, and project duration previously
agreed to by the National Program Team and Research Team. To validate
the plan's readiness for implementation and gain recommendations for
improvement, the project plan is now available for peer review.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Area Director Date

These officials have not performed a scientific merit peer review. Their
statements do not necessarily require expertise in the specific subjects
associated with this research. The approval to implement this project
plan cannot be made without scientific peer review coordinated by the
Office of Scientific Quality Review, ARS, USDA.

**PostPlan Signature Page, combined RL and CD/LD/ID**

**Post-Peer Review Signature Page**

**Lead Scientist, Project Number and Title**

This project plan was revised, as appropriate, according to the peer
review recommendations and/or other insights developed while considering
the peer review recommendations. A response to each peer review
recommendation is attached. If recommendations were not adopted, a
rationale is provided. This final version of the project plan reflects
the best efforts of the research team to consider the recommendations
provided by peer reviewers. The responses to the peer review
recommendations are satisfactory.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_

RL or CD/LD Date

The attached plan for the project identified above was created by a team
of credible researchers and internally reviewed and recognized by the
team's management and National Program Leader to establish the project's
relevance and dedication to the Agricultural Research Service's mission
and Congressional mandates. It reflects the best efforts of the research
team to consider the recommendations provided by peer reviewers. The
responses to the peer review recommendations are satisfactory. The
project plan has completed a scientific merit peer review in accordance
with the Research Title of the 1998 Farm Bill (PL105-185) and was deemed
feasible for implementation. Reasonable consideration was given to each
recommendation for improvement provided by the peer reviewers.

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Area Director (original signature required)** Date

**Template for Request to Postpone Prior to Start of Review**

Place on appropriate letterhead

\[Date\]

SUBJECT: Postponement of Project 0000-00000-000-00D (Title) from NPXXX
Peer Review Session

TO: Antoinette A. Betschart

Associate Administrator

THROUGH: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Deputy Administrator, Division

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Senior National Program Leader

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Area Director

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

CD/LD/ID, Unit Name

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Research Leader, Unit Name

FROM: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Lead Scientist, \_\_\_\_\_\_\_\_\_\_\_\_\_ \[Research Unit\]

We request that the project listed below be postponed from the peer
review presently scheduled for \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_.

This plan is presently scheduled for review by the NPXXX panel/ad hoc
review/re-review\*.

> *(\*Plans postponed from re-review may be ad hoc reviewed by new
> reviewers but will NOT be allowed further re-review.)*

National Program: *National Program for which plan is scheduled*

Management Unit and Location: *Location*

Lead Scientist: *Lead SY*

Investigators: *List investigators with percent time, as shown on the
project cover sheet*

Reason for request: *Provide a clear description of the circumstances
that preclude review as scheduled. Include efforts considered or made to
complete the plan without postponement.*

Time period of the requested postponement: *In months*

Date plan will be reviewed:

cc:

OSQR

PA

**Template for Request to Postpone After Receiving Unsatisfactory
Review**

Place on appropriate letterhead

\[Date\]

SUBJECT: Postponement of Project 0000-00000-000-00D (Title) from NPXXX
Peer Review Session

TO: Antoinette A. Betschart

Associate Administrator

THROUGH: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Deputy Administrator, Division

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Senior National Program Leader

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Area Director

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

CD/LD/ID, Unit Name

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Research Leader, Unit Name

FROM: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Lead Scientist, \_\_\_\_\_\_\_\_\_\_\_\_\_ \[Research Unit\]

The project listed below received an unsatisfactory score in the recent
NPXX Panel Review (insert panel session title). We request that this
project be postponed to a later ad hoc panel.

Project #:

Title:

National Program:

Management Unit and Location:

Lead Scientist:

Research Leader:

Center/Laboratory/Institute Director: (insert N/A if none)

Investigators: list investigators with % time, as shown on the project
cover sheet

Reason for request: Justification why project should be postponed rather
than ReReviewed.

Time period of the requested postponement: Indicate intended ad hoc
panel; if not earliest, justify.

cc:

OSQR

PA

**Template for Request to Terminate/Redirect After Unsatisfactory
Review**

Place on appropriate letterhead

\[Date\]

SUBJECT: Postponement of Project 0000-00000-000-00D (Title) from NPXXX
Peer Review Session

TO: Antoinette A. Betschart

Associate Administrator

THROUGH: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Deputy Administrator, Division

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Senior National Program Leader

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Area Director

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

CD/LD/ID, Unit Name

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Research Leader, Unit Name

FROM: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Lead Scientist, \_\_\_\_\_\_\_\_\_\_\_\_\_ \[Research Unit\]

The project listed below received an unsatisfactory score in the recent
NPXX Panel Review (insert panel session title). We request that this
project be terminated, with resources redirected.

Project #:

Title:

National Program:

Management Unit and Location:

Lead Scientist:

Research Leader:

Center/Laboratory/Institute Director: (insert N/A if none)

Investigators: list investigators with % time, as shown on the project
cover sheet

Redirection Plan: Indicate how resources will be redirected, how other
projects will be affected, how National Program objectives can be
accomplished without this project.

cc:

OSQR

PA

**Concurrence Memo Template**

Place on appropriate letterhead

Date

> SUBJECT: NP \_\_\_\_\_\_\_\_\_\_\_\_\_ Concurrence List, (Panel Date)

TO: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_, Director

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_Area

THROUGH: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_/s/

Deputy Administrator

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

FROM: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_/s/

> National Program \_\_\_\_\_ Co-Leader
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ /s/
>
> National Program \_\_\_\_\_\_ Co-Leader

The NP XXX Peer Review Panel is scheduled for \_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_, \_\_\_\_\_. The following projects are proposed for inclusion.
Please review the list, indicate Area concurrence, and return it to
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ by \_\_\_\_\_\_\_\_\_\_,
\_\_\_\_\_\_\_\_.

Requests for postponements of a project from the scheduled review must
be approved by the Associate Administrator, per the guidelines in the
REE Bulletin #03-601, "Guidelines for the Postponement of Research
Project Plan Peer Reviews."

If you have any questions, please contact \_\_\_\_\_\_\_\_\_\_\_ (phone:
301/504-\_\_\_\_ or e-mail: [\@ars.usda.gov](mailto:bhb@ars.usda.gov)).

  -------------------- --------- -------------- ---------- --------------------
  **Research Project   **PI**    **Location**   **Area     **Request for
  \#**                                          Concur**   Postponement**

  1265-22000-009-00D   Smith     Beltsville, MD            Memo forwarded to
                                                           Dr. Betschart for
                                                           approval 3/17/05

                                                           

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

cc:

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_, Area Program Analyst

**Review Schedule Template**

+-------+--------------------------------------------+-----------------+
| **NP  |                                            |                 |
| \_\   |                                            |                 |
| _\_\_ |                                            |                 |
| Panel |                                            |                 |
| R     |                                            |                 |
| eview |                                            |                 |
| Sche  |                                            |                 |
| dule, |                                            |                 |
| (Add  |                                            |                 |
| Panel |                                            |                 |
| Da    |                                            |                 |
| te)** |                                            |                 |
|       |                                            |                 |
| **NPS |                                            |                 |
| PA    |                                            |                 |
| \_    |                                            |                 |
| \_\_\ |                                            |                 |
| _\_\_ |                                            |                 |
| \_\_\ |                                            |                 |
| _\_\_ |                                            |                 |
| \_\_\ |                                            |                 |
| _\_** |                                            |                 |
+-------+--------------------------------------------+-----------------+
|       | The National Program Team develops the     | April 2006 --   |
|       | list of projects to be reviewed, initiates | October 2006    |
|       | the concurrence process and develops       |                 |
|       | review schedule(s)                         |                 |
+-------+--------------------------------------------+-----------------+
|       | Final concurrence/assignment list due to   | June 1, 2006    |
|       | OSQR and Area Director                     |                 |
+-------+--------------------------------------------+-----------------+
|       | Area sends COI Lists to OSQR.              | June 15, 2006   |
+-------+--------------------------------------------+-----------------+
|       | The NPT prepares PDRAMS and forwards to    | NLT November 1, |
|       | Area Offices and OSQR                      | 2006            |
+-------+--------------------------------------------+-----------------+
|       | Research teams develop prospectus          |                 |
+-------+--------------------------------------------+-----------------+
|       | -   Prospectus due to the                  |                 |
|       |     Lab/Center/Institute Director          |                 |
+-------+--------------------------------------------+-----------------+
|       | -   Prospectus due to the Area Office      |                 |
+-------+--------------------------------------------+-----------------+
|       | -   Prospectus due to the NPT,             | January 1, 2007 |
+-------+--------------------------------------------+-----------------+
|       | Area re-submits COI List to OSQR if        | January 1, 2007 |
|       | changes were made.                         |                 |
+-------+--------------------------------------------+-----------------+
|       | Approved prospectus due to OSQR.           | February 1,     |
|       |                                            | 2007            |
|       | *The research teams will also receive      |                 |
|       | direction to begin drafting their project  |                 |
|       | plans. Also the deadline to submit         |                 |
|       | suggestions for reviewers to OSQR***.**    |                 |
+-------+--------------------------------------------+-----------------+
|       |                                            |                 |
+-------+--------------------------------------------+-----------------+
|       | Project plans due to the                   |                 |
|       | Lab/Center/Institute Director              |                 |
+-------+--------------------------------------------+-----------------+
|       | Project plans due to the Area Office       |                 |
+-------+--------------------------------------------+-----------------+
|       | Approved project plans due to OSQR from    | June 1, 2007    |
|       | the Area Office with copy to NPT           |                 |
+-------+--------------------------------------------+-----------------+
|       |                                            |                 |
+-------+--------------------------------------------+-----------------+
|       | OSQR processing and review period          | June 2007       |
+-------+--------------------------------------------+-----------------+
|       |                                            |                 |
+-------+--------------------------------------------+-----------------+
|       | Research teams receive and respond to      |                 |
|       | reviews. Projects that receive a 'major    |                 |
|       | revision' or 'not feasible' will receive   |                 |
|       | separate direction.                        |                 |
+-------+--------------------------------------------+-----------------+
|       | Approved revised project plans and         |                 |
|       | response to reviewers' comments are due to |                 |
|       | OSQR from the Area Office with cc to NPT.  |                 |
|       | About 2 weeks later, OSQR will issue a     |                 |
|       | peer review certification and directions   |                 |
|       | regarding the 416/417. The plan is then    |                 |
|       | implemented for the period remaining until |                 |
|       | the next scheduled panel review in this    |                 |
|       | National Program.                          |                 |
+-------+--------------------------------------------+-----------------+

**Milestone Table Template**

<table>
<colgroup>
<col style="width: 13%" />
<col style="width: 2%" />
<col style="width: 0%" />
<col style="width: 3%" />
<col style="width: 7%" />
<col style="width: 1%" />
<col style="width: 11%" />
<col style="width: 18%" />
<col style="width: 1%" />
<col style="width: 14%" />
<col style="width: 5%" />
<col style="width: 19%" />
</colgroup>
<tbody>
<tr class="odd">
<td colspan="2"><strong>Project Titlea</strong></td>
<td colspan="6"></td>
<td colspan="2"><strong>Project No.b</strong></td>
<td colspan="2"></td>
</tr>
<tr class="even">
<td><strong>Objectivec</strong></td>
<td colspan="11"></td>
</tr>
<tr class="odd">
<td colspan="5"><strong>Performance Measured</strong></td>
<td colspan="7"></td>
</tr>
<tr class="even">
<td colspan="3"><strong>Subobjectivee</strong></td>
<td colspan="9"></td>
</tr>
<tr class="odd">
<td colspan="4"><strong>Hypothesisf</strong></td>
<td colspan="2"><p><strong>SY</strong></p>
<p><strong>Teamg</strong></p></td>
<td><strong>Monthsh</strong></td>
<td colspan="2"><strong>Milestonesi</strong></td>
<td colspan="2"><p><strong>Progress/</strong></p>
<p><strong>Changesj</strong></p></td>
<td><strong>Productsk</strong></td>
</tr>
<tr class="even">
<td colspan="4"></td>
<td colspan="2"></td>
<td><strong>12</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="4"></td>
<td colspan="2"></td>
<td><strong>24</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="4"></td>
<td colspan="2"></td>
<td><strong>36</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="4"></td>
<td colspan="2"></td>
<td><strong>48</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="4"></td>
<td colspan="2"></td>
<td><strong>60</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="4"><strong>Hypothesis</strong></td>
<td colspan="2"><p><strong>SY</strong></p>
<p><strong>Team</strong></p></td>
<td><strong>Months</strong></td>
<td colspan="2"><strong>Milestones</strong></td>
<td colspan="2"><p><strong>Progress/</strong></p>
<p><strong>Changes</strong></p></td>
<td><strong>Products</strong></td>
</tr>
<tr class="even">
<td colspan="4"></td>
<td colspan="2"></td>
<td><strong>12</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="4"></td>
<td colspan="2"></td>
<td><strong>24</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="4"></td>
<td colspan="2"></td>
<td><strong>36</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
</tr>
<tr class="odd">
<td colspan="4"></td>
<td colspan="2"></td>
<td><strong>48</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
</tr>
<tr class="even">
<td colspan="4"></td>
<td colspan="2"></td>
<td><strong>60</strong></td>
<td colspan="2"></td>
<td colspan="2"></td>
<td></td>
</tr>
</tbody>
</table>

The goal of the table is to present a summary of the project in a form
that is easily used to link to Annual Report of Progress (421's) and
Performance Plans for each scientist. The intent of the table is to be a
dynamic representation of the project that captures over the project
life cycle the important progress and products derived from the project.

Table can be expanded by copying any section below the project title
line.

Explanation of Footnotes

a Project Title from the project plan (use new project title)

b Project Number from the ARS-416 (use old project number until new
project is established)

c Objective from the project plan

d List the Performance Measure from the NP Action that the Objective
Addresses

e Subobjective from project plan (if used, if not this line can be
deleted)

f A statement of the hypothesis for the objective, if appropriate.
Otherwise the non-hypothesis statement

g Initials of the project team members contributing expertise to the
specific hypothesis and significant collaborators (if a vacancy exists
on the project, identify this position within the table)

h Milestones for the specific months of the project, be as specific as
possible as to the measurable milestones

i The Progress/Changes section is completed at the end of each year by
the project team as part of the Project Management and Evaluation
process and a summary of these are entered into the table and if there
is a revised milestone or hypothesis this is entered for the next period
of the project plan.

j Specific products of the project for each hypothesis line.

**Example Milestone Table**

+--------+---+---+---------------------------------+-------------------+
| **P    |   | E |                                 | **Project No.**   |
| roject |   | n |                                 |                   |
| T      |   | h |                                 | **XXX             |
| itle** |   | a |                                 | X-12000-001-00D** |
|        |   | n |                                 |                   |
|        |   | c |                                 |                   |
|        |   | e |                                 |                   |
|        |   | d |                                 |                   |
|        |   | A |                                 |                   |
|        |   | d |                                 |                   |
|        |   | o |                                 |                   |
|        |   | p |                                 |                   |
|        |   | t |                                 |                   |
|        |   | i |                                 |                   |
|        |   | o |                                 |                   |
|        |   | n |                                 |                   |
|        |   | o |                                 |                   |
|        |   | f |                                 |                   |
|        |   | S |                                 |                   |
|        |   | o |                                 |                   |
|        |   | i |                                 |                   |
|        |   | l |                                 |                   |
|        |   | C |                                 |                   |
|        |   | o |                                 |                   |
|        |   | n |                                 |                   |
|        |   | s |                                 |                   |
|        |   | e |                                 |                   |
|        |   | r |                                 |                   |
|        |   | v |                                 |                   |
|        |   | a |                                 |                   |
|        |   | t |                                 |                   |
|        |   | i |                                 |                   |
|        |   | o |                                 |                   |
|        |   | n |                                 |                   |
|        |   | P |                                 |                   |
|        |   | r |                                 |                   |
|        |   | a |                                 |                   |
|        |   | c |                                 |                   |
|        |   | t |                                 |                   |
|        |   | i |                                 |                   |
|        |   | c |                                 |                   |
|        |   | e |                                 |                   |
|        |   | s |                                 |                   |
|        |   | a |                                 |                   |
|        |   | n |                                 |                   |
|        |   | d |                                 |                   |
|        |   | t |                                 |                   |
|        |   | h |                                 |                   |
|        |   | e |                                 |                   |
|        |   | I |                                 |                   |
|        |   | m |                                 |                   |
|        |   | p |                                 |                   |
|        |   | a |                                 |                   |
|        |   | c |                                 |                   |
|        |   | t |                                 |                   |
|        |   | o |                                 |                   |
|        |   | n |                                 |                   |
|        |   | B |                                 |                   |
|        |   | i |                                 |                   |
|        |   | o |                                 |                   |
|        |   | l |                                 |                   |
|        |   | o |                                 |                   |
|        |   | g |                                 |                   |
|        |   | i |                                 |                   |
|        |   | c |                                 |                   |
|        |   | a |                                 |                   |
|        |   | l |                                 |                   |
|        |   | S |                                 |                   |
|        |   | t |                                 |                   |
|        |   | r |                                 |                   |
|        |   | e |                                 |                   |
|        |   | s |                                 |                   |
|        |   | s |                                 |                   |
|        |   | o |                                 |                   |
|        |   | r |                                 |                   |
|        |   | s |                                 |                   |
|        |   | i |                                 |                   |
|        |   | n |                                 |                   |
|        |   | S |                                 |                   |
|        |   | e |                                 |                   |
|        |   | m |                                 |                   |
|        |   | i |                                 |                   |
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|        |   | r |                                 |                   |
|        |   | i |                                 |                   |
|        |   | d |                                 |                   |
|        |   | A |                                 |                   |
|        |   | g |                                 |                   |
|        |   | r |                                 |                   |
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|        |   | l |                                 |                   |
|        |   | t |                                 |                   |
|        |   | u |                                 |                   |
|        |   | r |                                 |                   |
|        |   | e |                                 |                   |
+--------+---+---+---------------------------------+-------------------+
| *      | Q |   |                                 |                   |
| *Objec | u |   |                                 |                   |
| tive** | a |   |                                 |                   |
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|        | d |   |                                 |                   |
|        | s |   |                                 |                   |
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|        | i |   |                                 |                   |
|        | l |   |                                 |                   |
|        | m |   |                                 |                   |
|        | i |   |                                 |                   |
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+--------+---+---+---------------------------------+-------------------+
| *      |   |   | 3.2.5:    Provide fundamental   |                   |
| *Perfo |   |   | and applied scientific          |                   |
| rmance |   |   | information and technology to   |                   |
| Mea    |   |   | protect agriculturally          |                   |
| sure** |   |   | important plants from pests and |                   |
|        |   |   | diseases.                       |                   |
+--------+---+---+---------------------------------+-------------------+

+-------------+-----+-------+------------+-------------+-------------+
| **H         | **S | **Mon | **Mi       | **          | *           |
| ypothesis** | Y** | ths** | lestones** | Progress/** | *Products** |
|             |     |       |            |             |             |
|             | **  |       |            | **Changes** |             |
|             | Tea |       |            |             |             |
|             | m** |       |            |             |             |
+=============+=====+=======+============+=============+=============+
| Insect      | SY1 | **FY  | Identify   |             | Website of  |
| populations |     | 07    | sampling   |             | e           |
| are not     | SY2 | (     | sites for  |             | xperimental |
| affected by |     | 12)** | co         |             | sites and   |
| c           |     |       | nservation |             | data        |
| onservation |     |       | tillage    |             | o           |
| tillage     |     |       | within     |             | bservations |
| practices.  |     |       | production |             | for project |
|             |     |       | fields and |             | team to     |
|             |     |       | establish  |             | access      |
|             |     |       | monitoring |             |             |
|             |     |       | sites for  |             | Database    |
|             |     |       | insects    |             | format and  |
|             |     |       | and soil   |             | structure   |
|             |     |       | mi         |             | developed   |
|             |     |       | croclimate |             |             |
|             |     |       |            |             |             |
|             |     |       | Establish  |             |             |
|             |     |       | common     |             |             |
|             |     |       | database   |             |             |
|             |     |       | for insect |             |             |
|             |     |       | p          |             |             |
|             |     |       | opulations |             |             |
|             |     |       | and soil   |             |             |
|             |     |       | mi         |             |             |
|             |     |       | croclimate |             |             |
|             |     |       | data       |             |             |
+-------------+-----+-------+------------+-------------+-------------+
|             |     | **FY  | Collect    |             | Population  |
|             |     | 08    | soil       |             | of database |
|             |     | (     | samples    |             | with        |
|             |     | 24)** | and        |             | initial     |
|             |     |       | agronomic  |             | o           |
|             |     |       | data from  |             | bservations |
|             |     |       | field      |             |             |
|             |     |       | sites      |             | Initial     |
|             |     |       |            |             | comparison  |
|             |     |       | Collect    |             | of          |
|             |     |       | aerial     |             | differences |
|             |     |       | images     |             | among       |
|             |     |       | across     |             | c           |
|             |     |       | fields to  |             | onservation |
|             |     |       | determine  |             | tillage     |
|             |     |       | spatial    |             | systems     |
|             |     |       | patterns   |             |             |
|             |     |       | of insect  |             |             |
|             |     |       | damage     |             |             |
|             |     |       |            |             |             |
|             |     |       | Collect    |             |             |
|             |     |       | insect     |             |             |
|             |     |       | population |             |             |
|             |     |       | statistics |             |             |
|             |     |       | for each   |             |             |
|             |     |       | field      |             |             |
+-------------+-----+-------+------------+-------------+-------------+
|             |     | **FY  | Collect    |             | Database    |
|             |     | 09    | soil       |             | with 1^st^  |
|             |     | (     | samples    |             | and 2^nd^   |
|             |     | 36)** | and        |             | year        |
|             |     |       | agronomic  |             | o           |
|             |     |       | data from  |             | bservations |
|             |     |       | field      |             |             |
|             |     |       | sites      |             | Prototype   |
|             |     |       |            |             | field       |
|             |     |       | Collect    |             | assessment  |
|             |     |       | aerial     |             | tool        |
|             |     |       | images     |             |             |
|             |     |       | across     |             |             |
|             |     |       | fields to  |             |             |
|             |     |       | determine  |             |             |
|             |     |       | spatial    |             |             |
|             |     |       | patterns   |             |             |
|             |     |       | of insect  |             |             |
|             |     |       | damage     |             |             |
|             |     |       |            |             |             |
|             |     |       | Collect    |             |             |
|             |     |       | insect     |             |             |
|             |     |       | population |             |             |
|             |     |       | statistics |             |             |
|             |     |       | for each   |             |             |
|             |     |       | field      |             |             |
+-------------+-----+-------+------------+-------------+-------------+
|             |     | **FY  | Collect    |             | Database    |
|             |     | 10    | soil       |             | with 1^st^, |
|             |     | (     | samples    |             | 2^nd^, and  |
|             |     | 48)** | and        |             | 3^rd^       |
|             |     |       | agronomic  |             | results     |
|             |     |       | data from  |             |             |
|             |     |       | field      |             | Evaluation  |
|             |     |       | sites      |             | of          |
|             |     |       |            |             | e           |
|             |     |       | Collect    |             | xperimental |
|             |     |       | aerial     |             | o           |
|             |     |       | images     |             | bservations |
|             |     |       | across     |             | in          |
|             |     |       | fields to  |             | conjunction |
|             |     |       | determine  |             | with        |
|             |     |       | spatial    |             | cooperators |
|             |     |       | patterns   |             |             |
|             |     |       | of insect  |             |             |
|             |     |       | damage     |             |             |
|             |     |       |            |             |             |
|             |     |       | Collect    |             |             |
|             |     |       | insect     |             |             |
|             |     |       | population |             |             |
|             |     |       | statistics |             |             |
|             |     |       | for each   |             |             |
|             |     |       | field      |             |             |
+-------------+-----+-------+------------+-------------+-------------+
|             |     | *     | Summarize  |             | Evaluation  |
|             |     | *FY11 | ob         |             | of          |
|             |     | (     | servations |             | field-scale |
|             |     | 60)** | after      |             | assessment  |
|             |     |       | 4^th^      |             | tool        |
|             |     |       | growing    |             |             |
|             |     |       | season     |             | Draft       |
|             |     |       |            |             | reports and |
|             |     |       |            |             | manuscripts |
|             |     |       |            |             | on the      |
|             |     |       |            |             | project     |
|             |     |       |            |             | summary     |
+-------------+-----+-------+------------+-------------+-------------+

**Example PDRAM**

January 7, 2005

SUBJECT: Program Direction and Resource Allocation Memo for Project No.
6202-32000-018-00D "Microbial Competitive Exclusion to Reduce Epizootic
Pathogenic Bacteria in Swine and Cattle"

TO: C. Onstad, Director

Southern Plains Area

THROUGH: J. Spence, Deputy Administrator /s/

Nutrition, Food Safety and Quality

FROM: J. Robens, National Program Leader /s/

Food Safety

The Project Peer Review for National Program 108, Food Safety is
scheduled for June 2005. Project No. 6202-32000-018-00D "Microbial
Competitive Exclusion to Reduce Epizootic Pathogenic Bacteria in Swine
and Cattle" in the Food and Feed Safety Research Unit, College Station,
Texas, is due to terminate May 31, 2006. The new Project Prospectus is
due to OSQR and NPS for review during February 2005, and the full
Project Plan is due to OSQR during June 2005, for Panel Peer Review
during July 2005.

The new Project Plan must be developed by the research team to meet the
goals and objectives of the 2005-2009 National Program 108
Vision-Strategy Document/Action Plan recently provided. Both Prospectus
and Project Plan should be written with relevance to the components and
problem areas following the guidance given below.

**Title:** Interventions to Reduce Epizootic Pathogenic Bacteria in
Swine and Cattle

**Problem to be Addressed:**

The gut of food producing animals can be a reservoir for human pathogens
such as enterohemorrhagic *Escherichia coli*, *Salmonella* and
*Campylobacter*; bacteria estimated to cause as many as 3.9 million
cases of human disease in the United States each year.

Costs from human foodborne disease are estimated to exceed \$4.5 billion
dollars annually. Carrier animals colonized by these bacteria rarely
exhibit symptoms, thus their detection and exclusion from slaughter is
difficult. Numerous technologies have been developed to reduce the
contamination of carcasses by these pathogens during and after slaughter
but none are infallible, as evidenced by continued product recalls and
outbreaks of human foodborne disease. More recently, producers are under
increasing pressure to reduce their use of antibiotics to control
disease and enhance production due to concern of public health officials
that such use is contributing to the emergence and proliferation of
microbial populations resistant to antibiotics used to treat medically
important diseases. We need to understand the ecological factors
limiting the competitiveness, survivability and virulence of foodborne
pathogens in the environment and the gastrointestinal tract, and we need
to develop environmentally compatible technologies to clear these
pathogens from food animals during on-farm rearing. Where possible these
interventions should contribute to the efficiency of animal production.

**Objectives of Research:**

1.  Identify ecological factors: a) affecting pathogen attachment to the
    host's epithelial tissue, b) regulating respiratory and fermentative
    processes and c) determining seasonal patterns of *E. coli* O157:H7
    shedding.

2.  Conduct FDA approved field trials to demonstrate efficacy of a rumen
    bypass chlorate product to control enteropathogens in cattle.

3.  Determine specific dosages and administration regimes needed to
    optimize the microbiological control activity of chlorate,
    competitive exclusion, nitroalkane and bacteriophage therapy to
    reduce carriage of zoonotic pathogens in cattle and swine
    immediately preharvest and to be used as new, more environmentally
    compatible alternatives to antibiotics

4.  Quantitatively model selective factors impacting the development,
    amplification, persistence and transfer of antibiotic resistance
    elements within mixed populations of commensal and pathogenic gut
    bacteria in the environment and the gastrointestinal tract

**Cooperation/Collaboration with Other ARS and Outside Research
Projects:**

-   Dr. Lance H. Baumgard, Department of Animal Sciences, University of
    Arizona, Tuscon, Arizona

```{=html}
<!-- -->
```
-   Dr. Andrew D. Brabban, Biotechnology Research Lab, Evergreen State
    University, Olympia, Washington

-   Dr. Gordon E. Carstens, Department of Animal Science, Texas A&M
    University

-   Dr. Morgon H. Scott, Department of Public Health and Anatomy, Texas
    A&M University

-   Dr. David J. Smith, USDA/ARS, Biosciences Research Laboratory,
    Fargo, North Dakota

-   Dr. Chad H. Stahl, Department of Animal Science, Iowa State
    University, Ames, Iowa

**Expected Outcomes with Relevance to Problem Areas and Components w/in
the NP Action Plan** (Technology Transfer/products):

[Component 1.1 Preharvest Food Safety]{.underline}

Problem Statement 1.1.3 [Ecology, Host Pathogen and Chemical Residue
Relationships]{.underline} (45% of overall CRIS effort)

-   Objective 1 - Identification of ecological factors: a) affecting
    pathogen attachment to the host's epithelial tissue, b) regulating
    respiratory and fermentative processes and c) determining seasonal
    patterns of *E. coli* O157:H7 shedding.

-   Information regarding: a) the effect of swainsonine on expression of
    host cell receptors utilized by pathogenic bacteria, b) the effects
    of electro-negative compounds on regulation of respiratory and
    fermentative processes of foodborne pathogens and c) the effects of
    melatonin, triiodothyronine and thyroxine on seasonal patterns of
    *E. coli* O157:H7 shedding in cattle

Problem Statement 1.1.4 [Intervention Strategies]{.underline} (25% of
overall CRIS effort)

-   [Objective 2]{.underline} -- Completion of FDA approved field trials
    to demonstrate efficacy and safety of a rumen bypass chlorate
    product to control enteropathogens in cattle.

    a.  Efficacy and safety data to support regulatory approval of
        chlorate technology.

        -   Specific dosages and administration regimes needed to
            optimize the microbiological control activity of chlorate,
            competitive exclusion, nitroalkane and bacteriophage therapy
            to reduce carriage of zoonotic pathogens in cattle and swine
            immediately preharvest and to be used as new, more
            environmentally compatible alternatives to antibiotics.

a)  Practical, cost effective, user friendly interventions to reduce the
    carriage, shedding and environmental burden of epizootic pathogenic
    bacteria of food producing animals and targeted to specific
    metabolic processes or cellular components

Problem Statement 1.1.5 [Antimicrobial Resistance]{.underline} (30% of
overall CRIS effort)

-   A quantitative model incorporating selective factors impacting the
    development, amplification, persistence and transfer of resistance
    elements within mixed populations of commensal and pathogenic
    bacteria in the environment and the gastrointestinal tract.

    a.  Rates of acquisition and transfer of antimicrobial resistance
        under conditions of current or pending antimicrobial
        administration regimes.

    b.  An epidemiological model describing transmission dynamics of
        antibiotic resistance among enteric bacteria in an integrated,
        semi-closed population of swine and humans.

    c.  Phenotypic and genotypic antimicrobial resistance profiles among
        bacterial populations from watersheds downstream of concentrated
        dairy, beef and swine production systems, and an assessment of
        the environmental impact of composted and noncomposted manure on
        dissemination of foodborne pathogens and antimicrobial
        resistance when applied as a topsoil amendment.

**Supplemental Information:** N/A

**Scientific Personnel:**

Robin C. Anderson, Lead Scientist...............................100%

Ross C.
Beier......................................................\...100%

Todd R. Callaway...................................................100%

Thomas S. Edrington ...............................................100%

Roger B. Harvey.....................................................100%

Toni Poole ............................................................
50%

David J.
Nisbet.......................................................100%

**Source of Funds and Funding Level:**

\$2,28,510 NTL. \$1,459,517 from CRIS Project No. 6202-32000-018-00D
*Microbial Competitive Exclusion to Reduce Epizootic Pathogenic Bacteria
in Swine and Cattle,* and \$748,993 from CRIS No*.* 6202 - 32000-019
*Antibiotic Resistance to Enteric Bacteria in Poultry or Food Producing
animals.*

**National Program Information:**

National Program Code: NP 108 Food Safety

SOI 3310 Beef Cattle 50%

3410 Dairy Cattle 10%

3510 Swine 40%

**Other Information:** N/A

cc:

OSQR

Jill Stetka, NPS

PA, NFSQ

PA, SPA

**ARS's Categories for Professional Scientific Positions**

Category. An ARS system of administrative designations for groups of
positions having generally similar characteristics, primarily for
personnel and budgetary tracking purposes. Category has no legal or
administrative significance outside of ARS. Some positions may perform
duties from more than one category. ARS categories established for
professional scientific positions are as follows:

Category 1 (Research Scientist). Permanent positions in which the
highest level of work, for a major portion of time, involves personal
conduct or conduct and leadership of theoretical and experimental
investigations primarily of a basic or applied nature such as:
determining the nature, magnitude, and interrelationships of physical,
biological, and psychological phenomena and processes; creating or
developing principles, criteria, methods, and a body of knowledge
generally applicable for use by others. Category 1 positions are SY
positions.

Category 2 (Nonpermanent Research/Service Scientist). Professional
scientific positions which are established on a nonpermanent basis, are
filled through temporary or term appointments, and entail research
and/or service science work. Examples are Research Associate, Research
Affiliate, Visiting Scientist, and individuals reemployed in ARS after
having retired from Category 1 or Category 4 positions.

Category 3 (Support Scientist). Professional scientist positions which
function to provide direct support or service to one or more Category 1
or 4 positions. The work of such positions is characterized by
responsible involvement in one or more, but not all, phases of research
(particularly not the problem selection and definition phases);
responsible participation in analysis and preliminary interpretation of
data (but not including responsibility for final interpretation and
conclusion which relate the results to the field of research involved).
Examples include but are not limited to: (1) conducting literature
searches; (2) selecting procedures and conducting experiments; (3)
collecting and analyzing data or specimens; or (4) preparing technical
reports.

Category 4 (Service Scientist). Permanent positions whose incumbents
either primarily or exclusively serve as project or program leaders over
or personally perform, work assigned to ARS involving professional
scientific services to the public or to other governmental agencies,
such as: identification of animals, plants, or insects; diagnosis of
diseases; mass production of plants, animals, or insects; collection,
introduction, and maintenance of germplasm or specimens; vaccine
production; education, extension, or technology transfer activities; or
nutrient data and food intake surveys. Category 4 positions are SY
positions.

Category 6 (Specialist). "Specialist\" positions which perform
scientific program management, administration and/or analytical duties
and therefore require professional education and training. Examples are:
Area Director, Center Director, Agricultural Administrator, and National
Research Program Leader.

**Hypothesis-Driven vs. Non-Hypothesis-Driven Research**

**Hypothesis-Driven Research:**

Webster defines a hypothesis as a tentative assumption made in order to
draw out and test its logical or empirical consequences. A hypothesis
may be a conjecture or an unproved model. It often includes a prediction
about what will happen and a possible explanation for why it will
happen. A hypothesis is an integral part of the Scientific Method, which
has four steps, as follows:

1\. Observation and description of a phenomenon or group of phenomena.

2\. Formulation of a hypothesis to explain the phenomena.

3\. Use of the hypothesis to predict the existence of other phenomena,
or to predict quantitatively the results of new observations.

4\. Performance of experimental tests of the predictions by several
independent experimenters and properly performed experiments.

Questions are asked concerning observations, followed by formulations of
hypotheses. Then, predictions are made based on the hypothesis, and
appropriately-controlled experiments are performed to test it, providing
evidence to support or refute the hypothesis. Hypotheses are tested by
doing experiments; thus, hypothesis-driven research is targeted.

Types of Hypotheses:

Non-directional hypothesis

• there is a difference or there is a relationship statement of
expectation

• covers 2 of 3 possible outcomes

Directional hypothesis

• usually same as non-directional\-- there are two possibilities as
answers,

• usually better to use non-directional unless certain that relationship
can only go one way

Null hypothesis

• no difference exists

Statistical hypothesis

• tests of statistical significance

• make a decision to reject or fail to reject the null hypothesis

Example (from http://www.selu.edu/Academics/Education/EDF600/Mod3/):

Question -- Will students who attended at least two years of Montessori
preschool have better reading comprehension abilities at the end of
first grade than those students who did not attend preschool at all?

Non-directional hypothesis --

At the end of first grade, there will be a difference between reading
comprehension abilities of children who attended at least two years of
Montessori preschool and children who did not attend preschool at all.

Directional hypothesis --

At the end of first grade, children who attended at least two years of
Montessori preschool will have higher reading comprehension abilities
compared to children who did not attend preschool at all.

Null hypothesis --

At the end of first grade, there will be no difference between reading
comprehension abilities of children who attended at least two years of
Montessori preschool and children who did not attend preschool at all.

Additional Examples:

[Hypothesis Statement]{.underline}

Genetic background in elm influences the severity of leaf scorch
symptoms.

Intensity of tillage does not affect soil organic matter distribution
and carbon flux from the soil surface.

Diet composition in swine does not affect the composition of manure or
the pathogen content in manure.

**Non-Hypothesis-Driven Research:**

Note that there are research projects that are at step 1 of the
Scientific Method---these projects may have no hypothesis. Many
non-hypothesis-driven research projects can be characterized as
descriptive, explorative, or discovery research. Such projects involve
the study of a biological system or an aspect of a system about which we
do not know enough to formulate hypotheses. The general approach is to
gather large volumes of information about the particular system or
biological function, then analyze the data to discover linkages or other
significant characteristics that will provide insight into the mechanism
and function of the system.

Examples of research that may not have hypotheses include:

√ Systems research...... NP 207

√ Model development

√ High throughput genomics and other "-omics" research and global gene
expression research -- this type of non-hypothesis-driven research is
often called data-driven research.

√ Methods development for analyte detection \-- excluded is comparing
new methods to currently available methods.

√ Product development, although some hypotheses may be tested while
conducting the research. This research is goal- or customer-oriented.

√ Service projects -- taxonomy, IR-4, germplasm repository

**Requirement for Letters of Collaboration**

1.  If you cite the existence of a collaboration in your project plan
    the individual(s) with whom you are collaborating must provide you
    with a letter that clearly documents the collaboration. This letter
    must accompany your project plan. The Lead Scientist is responsible
    for making sure that all appropriate letters of collaboration are
    included with the Plan. Request letters of collaboration as soon as
    possible in the Peer Review Process.

2.  The letter of collaboration must be written on the letterhead of the
    institution with which the collaborator is affiliated and signed by
    the collaborator. (An e-mail should be used as a last resort and
    only for ARS collaborators. It must be accompanied by the
    recipient-properties fields of the ARS lab's e-mail software.)

3.  If you are sent a hardcopy of the letter, scan the letter and place
    it in your plan as a graphic insert (in the Appendix).

4.  The letter should clearly state the following:

    a.  The full name of the collaborator and his/her institution

    b.  A statement that explicitly describes the nature of what the
        collaborator will provide to the research.

    c.  A brief statement which describes the experience and expertise
        of collaborator in his/her field (citations of a few key papers
        would be helpful).

    d.  A statement acknowledging that facilities and equipment are
        available to the collaborator.

    e.  Acknowledgement of any prior or on-going collaboration with any
        members of the scientific team on the plan.

5.  Keep in mind, this letter is meant to show the peer review panel
    that the collaborator can provide the respective collaborative
    product. The panelists may not be familiar with the collaborator or
    his/her level of expertise. So, it is important that the letter
    provides this type of information.

**Scanning and Editing Adobe File Tips**

1\. Try not to scan into a bitmap, tiff or other photographic file.
Adobe does not compress them

as well and the file size is huge.

2\. You can scan directly into an Adobe file (if you have purchased the
distiller) and the letters

look beautiful! However it is harder to put the headers and footers in
the documents. File size is

OK.

3\. Scanning letters into a Word file. Scan them as a B&W drawing with
resolution of 100 (to

keep file size down). However, this isn't recommended for letters of
collaboration with color

because you want to maintain the originality as much as possible. Crop
the scan size to about

9\" if letters are short. In Word, you can easily add headers and
footers. The Word file

containing 38 letters (about half text and half scanned) was 11,000 kb
which when distilled by

Adobe became a 1500kb file.

If you have the distiller Adobe package, Adobe files are editable. This
should make it easy to

correct your signature pages or change page #\'s. Here\'s how:

1\. In Adobe, you should have 3 lines of toolbars. At the end of the 3rd
line, there should be a

blue T button (Touchup Text Tool button) with an attached arrow button.
If you don\'t see the big

T, bring down the menu by clicking on the arrow and then click on the T.

2\. Click the big blue T (should stay depressed), and then move your
cursor to the text you want

to edit and highlight it by left-clicking and dragging (as for any
software). Type the new text over

the old text.

3\. If you want to add text, it is best to move your cursor where you
want the text to go. Hold

down the ctrl key on your keyboard as you click on the big blue T, then
type.

4\. If you want to move text, click on the text, and you should see a
text box (like in PowerPoint),

but text should not be highlighted (unhighlight text if it is
highlighted). Now go to the arrow

button attached to the big blue T and pull down the menu. Click the
Touchup Object Tool button

just below the T button. Now go back to the highlighted text box and
drag it to where you want it

to be.

5\. If you want to change the font, go back up to the big blue T button.
Highlight the text that

you want to change (left click and drag) and then right click and scroll
down to attributes.

Designate font type and size.

6\. To underline text, click and hold the highlight text tool and drag
over to the underline text

tool. Drag your mouse over the text you want highlighted and the text
will be underlined.

United States Department of Agriculture

Research, Education, and Economics

**ARS  CSREES  ERS  NASS**

***Bulletin***

**Title:** Guidelines for the Postponement of Research Project Plan Peer
Reviews

**Number*:*** 03-601

**Date*: ***September 30, 2003 **Expiration:** September 30, 2004

**Originating Office:** ARS Administrator's Office

**Replaces:** Related guidance in OA-0501; *Peer Review Manual*

**Distribution:** ARS-wide

The following guidance describes procedures required of lead scientists
and research leaders to postpone an ARS CRIS project from its assigned
panel peer review session.

**References**

For additional information on the ARS Peer Review Process, See Manual
OA-0500.

**Abbreviations**

CRIS - Current Research Information System

NPS - National Program Staff

OSQR - Office of Scientific Quality Review

**Definitions**

Research Project Plan or Project Plan: As used in this directive, means
a 5-year plan of prospective research of which the Agricultural Research
Service is responsible for conducting and/or funding.

Panel Peer Review or Panel Review: As used in this directive, refers to
a panel of reviewers convened by the Office of Scientific Quality Review
to evaluate and provide recommendations on research project plans.

**Coverage**

Affects all ARS CRIS Category D-project research teams unless exempted
from the peer review requirements set forth in P.L. 104-185 (Section
103(d)).

**Authorities**

Title I\--Priorities, Scope, Review, and Coordination of Agricultural
Research, Extension, and Education Act of 1998 (P.L.104-185; Section
103(d)).

**Policy and Procedure**

The Office of Scientific Quality Review (OSQR) is responsible for
managing the peer review of ARS research projects supported by in-house,
base funds. As mandated by law, these reviews are to take place every
five years by peer review panels consisting of scientific experts from
universities, private industry and state and federal governmental
agencies. New research projects and existing projects, which have
undergone extensive reorganization, also must be reviewed soon after
they are implemented by the National Program Staff (NPS). Area Directors
and National Program Leaders should ensure, where feasible, that new or
reorganized projects are established prior to the start of the
appropriate panel review session and no later than the start of the
prospectus-development stage of the review process.

Cooperation at all administrative levels is needed to ensure timely
review of new and existing research projects. Assembling peer review
panels to review project plans is one of the more important
responsibilities of the OSQR staff. Panel service requires a significant
commitment of time by panel members. Once a peer review panel meeting is
scheduled, it is difficult to alter the schedule. Project plans not
completed in time to be reviewed by a scheduled peer review panel are
highly problematic. Such tardy plans must be sent out later for ad hoc
peer review, wherein additional scientific experts must be recruited to
perform the review. Also, tardiness or postponement in submission of
project plans for review undermine the integrity of the peer review
process for the Agency.

More importantly, tardy plans sent out for ad hoc review do not benefit
from the face-to-face discussions by members of a peer review panel.
Panel discussions that are rigorous are integral to the peer review
process, and result in the best evaluations of the quality of the
proposed research and suggestions to improve the research. Lead
Scientists and Research Leaders/Laboratory Directors are responsible for
ensuring that project plans are submitted to OSQR on schedule.
Postponement of peer review of a project plan will therefore be approved
only under exceptional circumstances.

Two criteria that [may]{.underline} allow postponement are listed below.

**Key Scientific Leadership Vacancies and Long-Term Absences.** Critical
leadership vacancies are typically generated when key incumbents leave
existing project positions or when new appropriations provide for new
projects and/or objectives. Long-term absences include any factor such
as family leave or major illness that would preclude a member of a
project from performing their duties for more than two months. Even when
such vacancies or absences are expected to exist for several months,
however, the Lead Scientist or Research Leader should consult with their
supervisor and strive to develop creative solutions that will facilitate
the completion of the project plan on schedule.

**Significant [Unanticipated]{.underline} Reorganization, Initiation, or
Redirection of Research.** Where feasible, planning for reorganization
or redirection of research projects should provide sufficient time for
development of project plans that can be panel peer-reviewed at the time
normally scheduled for the relevant National Program. Scheduling
information is available at the [Schedule of Peer Reviews]{.underline}
at the OSQR website HREF=\"http://www.ars.usda/osqr\". Timely
development and panel peer review of a research project plan is also
desirable when [unanticipated]{.underline} appropriations and/or
instructions are received to initiate, reorganize, or redirect research
in significantly new objective areas.

Before considering postponement, the Lead Scientist and Research
Leader/Laboratory Director (or individuals acting in their capacity) are
strongly encouraged to seek advice and guidance from sources, both
inside and outside of the Agency, concerning research techniques and
approaches not currently available in a project due to vacancies or
absences but needed to carry out the proposed research. Please note that
the absence of a single scientist from a multiple-scientist project may
not be sufficient to warrant postponement of a project plan review.

If, after considering the above criteria, the Lead Scientist or Research
Leader have remaining concerns about the feasibility and quality of the
pending research plan, they should raise their concerns informally with
their Area Director and appropriate National Program Staff member to
discuss whether a postponement is appropriate. Following these informal
discussions and concurrence, the Lead Scientist or Research Leader
requesting a postponement of the peer review of their project plan must
request the postponement in the form of a memo addressed to the
Associate Administrator. This formal request should be routed through,
and be approved by, the Research Leader/Laboratory Director, Institute
Director (when appropriate), Area Director and appropriate Associate
Deputy Administrator. A copy of the request must be sent to the OSQR's
Scientific Quality Review Officer. It is strongly recommended that the
Lead Scientist or Research Leader make their request for a postponement
no later than one month prior to the start of the prospectus-development
stage of the scheduled review process.

The memo to the Associate Administrator must contain the following
information:

CRIS Project No.

Title of the Project.

National Program.

Management Unit and Location.

Name of the Lead Scientist.

Names of the Research Leader, Center/Institute/Laboratory Director (if
applicable), Associate Deputy Administrator, and Area Director shown as,
who the memo went "through" for final approval.

Investigators assigned to the project and percent time contribution by
each.

Specific reason(s) for the requested postponement.

Time period of the requested postponement, to indicate the point in
which a prospectus could be prepared.

Efforts considered or made to complete the project plan write-up, and
why they are not feasible or have failed. (Please note that it is the
responsibility of the Lead Scientist, Research Leader and their
Center/Institute/Laboratory Director to exhaust all options for writing
the project plan before requesting a postponement).

Upon receiving documented concurrence (e-mails are acceptable) from the
Research Leader, Center/Institute/Laboratory Director (if applicable),
National Program Leader, and Area Director, the Lead Scientist or person
acting in their capacity must forward the memo to the Associate
Administrator's Correspondence Unit at HREF=\"mailto:rdp@ars.usda.gov\"
. The Correspondence Unit can also be reached at 301-504-4517.

**Responsibilities**

[Associate Administrator]{.underline}, where applicable, through the
OSQR, assures ARS is in compliance with P.L. 104-185; Section 103(d).
Considers recommendations for the postponement of peer reviews of
research projects and makes a final decision.

[Office of Scientific Quality Review,]{.underline} administers and
provides guidance on the ARS Peer Review Process and advises the
Associate Administrator.

[Area Directors,]{.underline} discuss, review, and concur on requests
for the postponement of peer reviews. Considers input on the rationale
for postponements from NPS and research teams.

[National Program Leaders & Associate Deputy
Administrators,]{.underline} review and make recommendations on requests
for the postponement of peer reviews.

[Research Leaders,]{.underline} review and make recommendations on
requests for the postponement of peer reviews. May also request
postponements.

[Lead Scientists (or individuals acting in their capacity),]{.underline}
uses the above guidance to request a postponed peer review of their
research project plan after other alternatives have been exhausted.

Approved by Dr. Caird Rexroad, Acting Associate Administrator Date

**Useful Websites**

Office of Scientific Quality Review

<http://www.ars.usda.gov/Research/docs.htm?docid=1286>

ARS National Programs

<http://www.ars.usda.gov/research/programs.htm>

AFM Virtual Library -- Administrative Issuances, P&P's

<http://www.afm.ars.usda.gov/ppweb/index.htm>

[Requirements for Letters of
Collaboration](http://www.ars.usda.gov/research/docs.htm?docid=1570)

[http://www.ars.usda.gov/Research/do](http://www.ars.uda.gov/Research/do)cs.htm?docid=1570\
Helpful tips for preparing letters of collaboration.

[CRIS Search](http://cris.csrees.usda.gov/)

http://www.cris.csrees.usda.gov/\
CRIS is the USDA\'s documentation and reporting system for ongoing and
recently completed research projects in agriculture, food and nutrition,
and forestry.

[To Complete a Patent Search](http://www.cambiaip.org/Home/welcome.htm)

http://www.cambiaip.org/Home/welcome.htm\
CAMBIA offers free and friendly access to agricultural patents from the
European Patent Office, applications provided under the Patent
Cooperation Treaty, and the U.S. Patent Office. The site also offers
some helpful information for novices, such as a tutorial on how to read
a patent.

Homeland Security

<http://www.arsnet.usda.gov/ohs>,
<http://arsnet.usda.gov/OHS/biosafety/materials_toxins.htm#I>,
<http://www.ars.net.usda.gov/OHS/biosafety/SelectAgents.doc>