390 Federal Register / Vol. 63, No. 2 / Monday, January 5, 1998 / Notices

DEPARTMENT OF AGRICULTURE

Cooperative State Research,

Education, and Extension Service

Request for Proposals (RFP): Special

Research Grants Program, Potato

Research

AGENCY: Cooperative State Research,

Education, and Extension Service,

USDA.

ACTION: Notice.

SUMMARY: The Cooperative State

Research, Education, and Extension

Service announces the availability of

grant funds and requests proposals for

the Special Research Grants Program,

Potato Research for fiscal year (FY)

1998. Subject to the availability of

funds, the anticipated amount available

for support of this program in FY 1998

is $1,134,814.

This notice sets out the objectives for

these projects, the eligibility criteria for

projects and applicants, the application

procedures, and the set of instructions

needed to apply for a Potato Research

Project grant. To obtain application

forms, please contact the Proposal

Services Unit, Grants Management

Branch; Office of Extramural Programs;

USDA/CSREES at (202) 401–5048.

When calling the Proposal Services

Unit, please indicate that you are

requesting forms for the Special

Research Grants Program, Potato

Research.

DATES: Applications must be received

on or before February 19, 1998.

Proposals received after February 19,

1998, will not be considered for

funding.

FOR FURTHER INFORMATION CONTACT: Dr.

James Parochetti, Cooperative State

Research, Education, and Extension

Service, U.S. Department of Agriculture,

STOP 2220, 1400 Independence

Avenue, S.W., Washington, D.C. 20250–

2220; telephone (202) 401–4354;

Internet: jparochetti@reeusda.gov.

SUPPLEMENTARY INFORMATION:

Table of Contents

Part I—General Information

A. Legislative Authority

B. Definitions

C. Eligibility

Part II—Program Description

A. Purpose of the Program

B. Available Funds and Award Limitations

Part III—How to Obtain Application

Materials

Part IV—Content of a Proposal

A. ‘‘Application for Funding’’ (Form

CSREES–661)

B. Table of Contents

C. Objectives

D. Progress Report

E. Procedures

F. Justification

G. Cooperation and Institutional Units

Involved

H. Literature Review

I. Current Work

J. Facilities and Equipment

K. Project Timetable

L. Personnel Support

M. Collaborative and/or Subcontractual

Arrangements

N. ‘‘Budget’’ (Form CSREES–55)

O. ‘‘Current and Pending Support’’ (Form

CSREES–663)

P. ‘‘Assurance Statement(s)’’ (Form CSREES–

662)

Q. Certifications

R. Compliance with the National

Environmental Policy Act

S. Additions to Project Description

Part V—Submission of a Proposal

A. What to Submit

B. Where and When to Submit

C. Acknowledgment of Proposals

Part VI—Selection Process and Evaluation

Criteria

A. Selection Process

B. Evaluation Criteria

Part VII—Supplementary Information

A. Access to Peer Review Information

B. Grant Awards

C. Use of Funds; Changes

D. Other Federal Statutes and Regulations

that Apply

E. Confidential Aspects of Proposals and

Awards

F. Regulatory Information

Part I—General Information

A. Legislative Authority

The authority for this program is

contained in section 2(c)(1)(B) of the Act

of August 4, 1965, Pub. L. No. 89–106,

as amended (7 U.S.C. 450i(c)(1)(B)). The

administrative regulations at 7 CFR part

3400 for Special Grants Programs

awarded under the authority of section

2(c)(1)(A) of this Act (7 U.S.C.

450i(c)(1)(A)) do not apply to grants

solicited and awarded under this RFP.

In accordance with the statutory

authority, grants awarded under this

program will be for the purpose of

facilitating or expanding ongoing StateFederal food and agricultural research

programs that—(i) promote excellence

in research on a regional and national

level; (ii) promote the development of

regional research centers; (iii) promote

the research partnership between the

Department of Agriculture, colleges and

universities, research foundations, and

State agricultural experiment stations

for regional research efforts; and (iv)

facilitate coordination and cooperation

of research among States through

regional research grants.

B. Definitions

For the purpose of awarding grants

under this program, the following

definitions are applicable:

(1) Administrator means the

Administrator of the Cooperative State

Research, Education, and Extension

Service (CSREES) and any other officer

or employee of the Department to whom

the authority involved may be

delegated.

(2) Authorized departmental officer

means the Secretary or any employee of

the Department who has the authority to

issue or modify grant instruments on

behalf of the Secretary.

(3) Authorized organizational

representative means the president,

chief executive officer or functional

equivalent of the applicant organization

or the official, designated by the

president, chief executive officer or

functional equivalent of the applicant

organization, who has the authority to

commit the resources of the

organization.

(4) Budget period means the interval

of time (usually 12 months) into which

the project period is divided for

budgetary and reporting purposes.

(5) Department or USDA means the

United States Department of

Agriculture.

(6) Grantee means the entity

designated in the grant award document

as the responsible legal entity to which

a grant is awarded.

(7) Peer review panel means a group

of experts qualified by training and

experience in particular fields to give

expert advice on the scientific and

technical merit of grant applications in

such fields, who evaluate eligible

proposals submitted to this program in

their personal area(s) of expertise.

(8) Principal Investigator/Project

Director means the single individual

designated by the grantee in the grant

application and approved by the

Secretary who is responsible for the

direction and management of the

project. Note that a proposal may have

multiple secondary co-principal

investigators/project directors but only

one principal investigator/project

director.

(9) Prior approval means written

approval evidencing prior consent by an

authorized departmental officer as

defined in (2) above.

(10) Project means the particular

activity within the scope of the program

supported by a grant award.

(11) Project period means the total

length of time that is approved by the

Administrator for conducting the

research project, as stated in the award

document and modifications thereto, if
Federal Register / Vol. 63, No. 2 / Monday, January 5, 1998 / Notices 391

any, during which Federal sponsorship

begins and ends.

(12) Secretary means the Secretary of

Agriculture and any other officer or

employee of the Department to whom

the authority involved may be

delegated.

C. Eligibility

Proposals may be submitted by State

agricultural experiment stations, landgrant colleges and universities, research

foundations established by land-grant

colleges and universities, colleges and

universities receiving funds under the

Act of October 10, 1962, as amended (16

U.S.C. 582a et seq.), and accredited

schools or colleges of veterinary

medicine. The proposals must be

directly related to potato varietal

development/testing. Although an

applicant may be eligible based on its

status as one of these entities, other

factors may exclude an applicant from

receiving Federal assistance under this

program (e.g., debarment or suspension,

a determination of non-responsibility

based on submitted organizational

management information).

Part II—Program Description

A. Purpose of the Program

Proposals are invited for competitive

grant awards under the Special Research

Grants Program, Potato Research for

fiscal year (FY) 1998. The purpose of

this grant program is to support potato

research that focuses on varietal

development/testing. As used herein,

varietal development/testing is research

using traditional and biotechnological

genetics to develop improved potato

variety(ies). Aspects of evaluation,

screening and testing must support or

compliment the development of

improved varieties. This program is

administered by the Cooperative State

Research, Education, and Extension

Service (CSREES) of USDA.

B. Available Funds and Award

Limitations

Funds will be awarded on a

competitive basis to support regional

research projects that are composed of

potato research that focuses on varietal

development/testing. For purposes of

this program, regional research means

research having application beyond the

immediate State in which the awardee

resides and performs the project. The

total amount of funds available in FY

1998 for support of this program is

approximately $1,134,814. Each

proposal submitted in FY 1998 shall

request funding for a period not to

exceed one year. Funding for additional

years will depend upon the availability

of funds and progress toward objectives.

FY 1998 awardees would need to

recompete in future years for additional

funding.

Under this program, and subject to the

availability of funds, the Secretary may

make grant awards for the support of

research projects available for up to five

years to further the program.

In addition, section 716 of the

Agriculture, Rural Development, Food

and Drug Administration, and Related

Agencies Appropriations Act, 1998,

Pub. L. No. 105–86, encourages entities

receiving Federal financial assistance to

use grant funds to purchase only

American-made equipment or products

in the case of any equipment or product

authorized to be purchased with funds

provided under this program.

Part III—How to Obtain Application

Materials

Copies of this solicitation and the

Application Kit may be obtained by

writing to the address or calling the

telephone number which follows:

Proposal Services Unit, Grants

Management Branch; Office of

Extramural Programs; Cooperative State

Research, Education, and Extension

Service; U.S. Department of Agriculture;

STOP 2245; 1400 Independence Ave.,

S.W.; Washington D.C. 20250–2245;

Telephone: (202) 401–5048. When

contacting the Proposal Services Unit,

please indicate that you are requesting

forms for the Special Research Grants

Program, Potato Research.

These materials may also be requested

via Internet by sending a message with

your name, mailing address (not e-mail)

and phone number to psb@reeusda.gov

which states that you want a copy of the

application materials for the FY 1998

Special Research Grants Program, Potato

Research. The materials will then be

mailed to you (not e-mailed) as quickly

as possible.

Part IV—Content of a Proposal

All applications should be typed on

81⁄2 × 11 white paper, single-spaced, and

on one side of the page only. It would

be helpful if the name of the submitting

institution were typed at the top of each

page for easy identification in the event

the proposal becomes disassembled

while being reviewed. All proposals

must contain the following forms and

narrative information to assist CSREES

personnel during the review and award

processes:

A. ‘‘Application for Funding’’ (Form

CSREES–661)

Each copy of each grant proposal

must contain an ‘‘Application for

Funding.’’ One copy of the application,

preferably the original, must contain the

pen-and-ink signature(s) of the

proposing principal investigator(s)/

project director(s) and the authorized

organizational representative who

possesses the necessary authority to

commit the organization’s time and

other relevant resources to the project.

Any proposed principal investigator or

co-principal investigator whose

signature does not appear on Form

CSREES–661 will not be listed on any

resulting grant award. Complete both

signature blocks located at the bottom of

the ‘‘Application for Funding’’ form.

Form CSREES–661 serves as a source

document for the CSREES grant

database; it is therefore important that it

be completed accurately. The following

items are highlighted as having a high

potential for errors or

misinterpretations:

1. Title of Project (Block 6). The title

of the project must be brief (80-character

maximum), yet represent the major

thrust of the effort being proposed.

Project titles are read by a variety of

nonscientific people; therefore, highly

technical words or phraseology should

be avoided where possible. In addition,

introductory phrases such as

‘‘investigation of’’ or ‘‘research on’’

should not be used.

2. Program to Which You Are

Applying (Block 7). ‘‘Special Research

Grants Program, Potato Research’’

should be inserted in this block. You

may ignore the reference to a Federal

Register announcement.

3. Program Area and Number (Block

8). The name of the program area,

‘‘Potato Research,’’ should be inserted in

this block. You should ignore references

to the program number and the Federal

Register announcement.

4. Type of Award Request (Block 13).

If the project being proposed is a

renewal of a grant that has been

supported under the same program at

any time during the previous five fiscal

years, it is important that you show the

latest grant number assigned to the

project by CSREES.

5. Principal Investigator(s) (Block 15).

The designation of excessive numbers of

co-principal investigators creates

problems during final review and award

processes. Listing multiple co-principal

investigators, beyond those required for

genuine collaboration, is therefore

discouraged.

6. Type of Performing Organization

(Block 18). A check should be placed in

the box beside the type of organization

which actually will carry out the effort.

For example, if the proposal is being

submitted by an 1862 Land-Grant

institution but the work will be

performed in a department, laboratory,
392 Federal Register / Vol. 63, No. 2 / Monday, January 5, 1998 / Notices

or other organizational unit of an

agricultural experiment station, box

‘‘03’’ should be checked. If portions of

the effort are to be performed in several

departments, check the box that applies

to the individual listed as PI/PD #1 in

Block 15.a.

7. Other Possible Sponsors (Block 22).

List the names or acronyms of all other

public or private sponsors including

other agencies within USDA and other

programs funded by CSREES to whom

your application has been or might be

sent. In the event you decide to send

your application to another organization

or agency at a later date, you must

inform the identified CSREES program

manager as soon as practicable.

Submitting your proposal to other

potential sponsors will not prejudice its

review by CSREES; however, duplicate

support for the same project will not be

provided.

B. Table of Contents

For consistency and ease of locating

information, each proposal submitted

should contain a Table of Contents.

C. Objectives

Clear, concise, complete, and logically

arranged statement(s) of the specific

aims of the proposed effort must be

included in all proposals. For renewal

applications, a restatement of the

objectives outlined in the active grant

also should be provided.

D. Progress Report

If the proposal is a renewal of an

existing project supported under the

same program, include a clearly

identified summary progress report

describing the results to date. The

progress report should contain the

following information:

1. A comparison of actual

accomplishments with the goals

established for the active grant;

2. The reasons for slippage if

established goals were not met;

3. Other pertinent information,

including, when appropriate, cost

analysis and explanation of cost

overruns or unexpectedly high unit

costs.

E. Procedures

The procedures or methodology to be

applied to the proposed effort should be

explicitly stated. This section should

include but not necessarily be limited

to:

1. A description of the proposed

investigations and/or experiments in the

sequence in which it is planned to carry

them out;

2. Techniques to be employed,

including their feasibility;

3. Kinds of results expected;

4. Means by which data will be

analyzed or interpreted;

5. Pitfalls which might be

encountered; and

6. Limitations to proposed

procedures.

F. Justification

This section should include in-depth

information on the following, when

applicable:

1. Estimates of the magnitude of the

problem and its relevance to ongoing

State-Federal food and agricultural

research programs;

2. Importance of starting the work

during the current fiscal year, and

3. Reasons for having the work

performed by the proposing institution.

G. Cooperation and Institutional Units

Involved

Cooperative and multi-state

applications are encouraged. Identify

each institutional unit contributing to

the project. Identify each state in a

multiple-state proposal and designate

the lead state. When appropriate, the

project should be coordinated with the

efforts of other state and/or national

programs. Clearly define the roles and

responsibilities of each institutional

unit of the project team, if applicable.

H. Literature Review

A summary of pertinent publications

with emphasis on their relationship to

the effort being proposed should be

provided and should include all

important and recent publications from

other institutions, as well as those from

the applicant institution. The citations

themselves should be accurate,

complete, and written in an acceptable

journal format.

I. Current Work

Current unpublished institutional

activities to date in the program area

under which the proposal is being

submitted should be described.

J. Facilities and Equipment

All facilities which are available for

use or assignment to the project during

the requested period of support should

be reported and described briefly. Any

potentially hazardous materials,

procedures, situations, or activities,

whether or not directly related to a

particular phase of the effort, must be

explained fully, along with an outline of

precautions to be exercised. Examples

include work with toxic chemicals and

experiments that may put human

subjects or animals at risk.

All items of major instrumentation

available for use or assignment to the

proposed project also should be

itemized. In addition, items of

nonexpendable equipment needed to

conduct and bring the project to a

successful conclusion should be listed,

including dollar amounts and, if funds

are requested for their acquisition,

justified.

K. Project Timetable

The proposal should outline all

important phases as a function of time,

year by year, for the entire project,

including periods beyond the grant

funding period.

L. Personnel Support

All senior personnel who are

expected to be involved in the effort

must be clearly identified. For each

person, the following should be

included:

1. An estimate of the time

commitment involved;

2. Vitae of the principal

investigator(s), senior associate(s), and

other professional personnel. This

section should include vitae of all key

persons who are expected to work on

the project, whether or not CSREES

funds are sought for their support. The

vitae should be limited to two (2) pages

each in length, excluding publications

listings; and

3. A chronological listing of the most

representative publications during the

past five years. This listing must be

provided for each professional project

member for whom a vita appears.

Authors should be listed in the same

order as they appear on each paper

cited, along with the title and complete

reference as these usually appear in

journals.

M. Collaborative and/or Subcontractual

Arrangements

If it will be necessary to enter into

formal consulting or collaborative

arrangements with other individuals or

organizations, such arrangements

should be fully explained and justified.

In addition, evidence should be

provided that the collaborators involved

have agreed to render these services. A

letter of intent from the individual or

organization will satisfy this

requirement. For purposes of proposal

development, informal day-to-day

contacts between key project personnel

and outside experts are not considered

to be collaborative arrangements and

thus do not need to be detailed.

All anticipated subcontractual

arrangements also should be explained

and justified in this section. A proposed

statement of work and a budget for each

arrangement involving the transfer of

substantive programmatic work or the
Federal Register / Vol. 63, No. 2 / Monday, January 5, 1998 / Notices 393

providing of financial assistance to a

third party must be provided.

Agreements between departments or

other units of your own institution and

minor arrangements with entities

outside of your institution (e.g., requests

for outside laboratory analyses) are

excluded from this requirement.

If you expect to enter into

subcontractual arrangements, please

note that the provisions contained in 7

CFR Part 3019, as amended by 62 FR

45934, USDA Uniform Administrative

Requirements for Grants and

Agreements with Institutions of Higher

Education, Hospitals, and Other NonProfit Organizations, and the general

provisions contained in 7 CFR Part

3015.205, USDA Uniform Federal

Assistance Regulations, flow down to

subrecipients. In addition, required

clauses from 7 CFR Part 3019 Sections

40–48 (‘‘Procurement Standards’’) and

Appendix A (‘‘Contract Provisions’’)

should be included in final contractual

documents, and it is necessary for the

subawardee to make a certification

relating to debarment/suspension. This

latter requirement is explained further

under subsection ‘‘Q’’ of these

guidelines.

N. ‘‘Budget’’ (Form CSREES–55)

Each proposal must contain a detailed

budget for up to 12 months of support.

Funds may be requested under any of

the categories listed on the budget form,

provided that the item or service for

which support is sought is allowable

under the enabling legislation and the

applicable Federal cost principles and

can be identified as necessary and

reasonable for the successful conduct of

the project.

The following guidelines should be

used in developing your proposal

budget(s):

1. Salaries and Wages. Salaries and

wages are allowable charges and may be

requested for personnel who will be

working on the project in proportion to

the time such personnel will devote to

the project. If salary funds are requested,

the number of Senior and Other

Personnel and the number of CSREES

Funded Work Months must be shown in

the spaces provided. Grant funds may

not be used to augment the total salary

or rate of salary of project personnel or

to reimburse them for time in addition

to a regular full-time salary covering the

same general period of employment.

Salary funds requested must be

consistent with the normal policies of

the institution and with OMB Circular

No. A–21, Cost Principles for

Educational Institutions. Administrative

and Clerical salaries are normally

classified as indirect costs. (See Item 9.

below.) However, if requested under

A.2.e., they must be fully justified.

Note: In accordance with Section 1473 of

the National Agricultural Research,

Extension, and Teaching Policy Act of 1977,

as amended, 7 U.S.C. 3319, tuition remission

is not an allowable cost under Section

2(c)(1)(B) projects, and no funds will be

approved for this purpose.

2. Fringe Benefits. Funds may be

requested for fringe benefit costs if the

usual accounting practices of your

institution provide that institutional

contributions to employee benefits

(social security, retirement, etc.) be

treated as direct costs. Fringe benefit

costs may be included only for those

personnel whose salaries are charged as

a direct cost to the project. See OMB

Circular No. A–21, Cost Principles for

Educational Institutions, for further

guidance in this area.

3. Nonexpendable Equipment.

Nonexpendable equipment means

tangible nonexpendable personal

property including exempt property

charged directly to the award having a

useful life of more than one year and an

acquisition cost of $5,000 or more per

unit. As such, items of necessary

instrumentation or other nonexpendable

equipment should be listed individually

by description and estimated cost. This

applies to revised budgets as well, as the

equipment item(s) and amount(s) may

change.

Note: For projects awarded under the

authority of Sec. 2(c)(1)(B) of Pub. L. No. 89–

106, no funds will be awarded for the

renovation or refurbishment of research

spaces; the purchase or installation of fixed

equipment in such spaces; or for the

planning, repair, rehabilitation, acquisition,

or construction of a building or facility.

4. Materials and Supplies. The types

of expendable materials and supplies

which are required to carry out the

project should be indicated in general

terms with estimated costs.

5. Travel. The type and extent of

travel and its relationship to project

objectives should be described briefly

and justified. If foreign travel is

proposed, the country to be visited, the

specific purpose of the travel, a brief

itinerary, inclusive dates of travel, and

estimated cost must be provided for

each trip. Airfare allowances normally

will not exceed round-trip jet economy

air accommodations. U.S. flag carriers

must be used when available. See 7 CFR

Part 3015.205(b)(4) for further guidance.

6. Publication Costs/Page Charges.

Anticipated costs of preparing and

publishing results of the research being

proposed (including page charges,

necessary illustrations, and the cost of a

reasonable number of coverless reprints)

may be estimated and charged against

the grant.

7. Computer (ADPE) Costs.

Reimbursement for the costs of using

specialized facilities (such as a

university- or department-controlled

computer mainframe or data processing

center) may be requested if such

services are required for completion of

the work.

8. All Other Direct Costs. Anticipated

direct project charges not included in

other budget categories must be

itemized with estimated costs and

justified on a separate sheet of paper

attached to Form CSREES–55. This

applies to revised budgets as well, as the

item(s) and dollar amount(s) may

change. Examples may include space

rental at remote locations,

subcontractual costs, charges for

consulting services, telephone,

facsimile, e-mail, shipping costs, and

fees for necessary laboratory analyses.

You are encouraged to consult the

‘‘Instructions for Completing Form

CSREES–55, Budget,’’ of the

Application Kit for detailed guidance

relating to this budget category.

9. Indirect Costs. Pursuant to Section

1473 of the National Agriculture

Research, Extension, and Teaching

Policy Act of 1977, as amended, 7

U.S.C. 3319, indirect costs are not

allowable costs under Section 2(c)(1)(B)

projects, and no funds will be approved

for this purpose. Further, costs that are

a part of an institution’s indirect cost

pool (e.g., administrative or clerical

salaries) may not be reclassified as

direct costs for the purpose of making

them allowable.

10. Cost-sharing. Cost-sharing is

encouraged; however, cost-sharing is

not required nor will it be a direct factor

in the awarding of any grant.

O. ‘‘Current and Pending Support’’

(Form CSREES–663)

All proposals must contain Form

CSREES–663 listing this proposal and

any other current or pending support to

which key project personnel have

committed or are expected to commit

portions of their time, whether or not

salary support for the person(s) involved

is included in the budget. This proposal

should be identified in the pending

section of this form.

P. ‘‘Assurance Statement(s)’’ (Form

CSREES–662)

A number of situations encountered

in the conduct of projects require

special assurance, supporting

documentation, etc., before funding can

be approved for the project. In addition

to any other situation that may exist

with regard to a particular project, it is
394 Federal Register / Vol. 63, No. 2 / Monday, January 5, 1998 / Notices

expected that some applications

submitted in response to these

guidelines will include the following:

1. Recombinant DNA or RNA

Research. As stated in 7 CFR Part

3015.205(b)(3), all key personnel

identified in the proposal and all

signatory officials of the proposing

organization are required to comply

with the guidelines established by the

National Institutes of Health entitled,

‘‘Guidelines for Research Involving

Recombinant DNA Molecules,’’ as

revised. If your project proposes to use

recombinant DNA or RNA techniques,

the application must so indicate by

checking the ‘‘yes’’ box in Block 19 of

Form CSREES–661 (‘‘Application for

Funding’’) and by completing Section A

of Form CSREES–662. For applicable

proposals recommended for funding,

Institutional Biosafety Committee

approval is required before CSREES

funds will be released.

2. Animal Care. Responsibility for the

humane care and treatment of live

vertebrate animals used in any grant

project supported with funds provided

by CSREES rests with the performing

organization. Where a project involves

the use of living vertebrate animals for

experimental purposes, all key project

personnel and all signatory officials of

the proposing organization are required

to comply with the applicable

provisions of the Animal Welfare Act of

1996, as amended (7 U.S.C. 2131 et seq.)

and the regulations promulgated

thereunder by the Secretary in 9 CFR

Parts 1, as amended by 62 Federal

Register 43272 and 50244, 2, 3, as

amended by 62 Federal Register 43272

and 50244, and 4 pertaining to the care,

handling, and treatment of these

animals. If your project will involve

these animals or activities, you must

check the ‘‘yes’’ box in Block 20 of Form

CSREES–661 and complete Section B of

Form CSREES–662. In the event a

project involving the use of live

vertebrate animals results in a grant

award, funds will be released only after

the Institutional Animal Care and Use

Committee has approved the project.

3. Protection of Human Subjects.

Responsibility for safeguarding the

rights and welfare of human subjects

used in any grant project supported

with funds provided by CSREES rests

with the performing organization.

Guidance on this issue is contained in

the National Research Act, Pub. L. No.

93–348, as amended, and implementing

regulations established by the

Department under 7 CFR Part 1c. If you

propose to use human subjects for

experimental purposes in your project,

you should check the ‘‘yes’’ box in

Block 21 of Form CSREES–661 and

complete Section C of Form CSREES–

662. In the event a project involving

human subjects results in a grant award,

funds will be released only after the

appropriate Institutional Review Board

has approved the project.

Q. Certifications

Note that by signing the Application

for Funding form the applicant is

providing the required certifications set

forth in 7 CFR Part 3017, regarding

Debarment and Suspension and DrugFree Workplace, and 7 CFR Part 3018,

regarding Lobbying. The certification

forms are included in this application

package for informational purposes

only. These forms should not be

submitted with your proposal since by

signing the Form CSREES–661 your

organization is providing the required

certifications.

If the project will involve a

subcontractor or consultant, the

subcontractor/consultant should submit

a Form AD–1048 to the grantee

organization for retention in their

records. This form should not be

submitted to USDA.

R. Compliance With the National

Environmental Policy Act

As outlined in 7 CFR Part 3407

(CSREES’s implementing regulations of

the National Environmental Policy Act

of 1969 (NEPA), as amended (42 U.S.C.

4321 et seq.)), environmental data or

documentation for the proposed project

is to be provided to CSREES in order to

assist CSREES in carrying out its

responsibilities under NEPA, which

includes determining whether the

project requires an Environmental

Assessment or an Environmental Impact

Statement or whether it can be excluded

from this requirement on the basis of

several categorical exclusions. To assist

CSREES in this determination, the

applicant should review the categories

defined for exclusion to ascertain

whether the proposed project may fall

within one of the exclusions.

Form CSREES–1234, ‘‘NEPA

Exclusions Form’’ (copy in Application

Kit), indicating the applicant’s opinion

of whether or not the project falls within

one or more categorical exclusions,

along with supporting documentation,

must be included in the proposal. The

information submitted in association

with NEPA compliance should be

identified in the Table of Contents as

‘‘NEPA Considerations’’ and Form

CSREES–1234 and supporting

documentation should be placed after

the Form CSREES–661, ‘‘Application for

Funding,’’ in the proposal.

The following Categorical Exclusions

apply:

(1) USDA Categorical Exclusions (7 CFR

1b.3)

(i) Policy development, planning and

implementation which are related to

routine activities such as personnel,

organizational changes, or similar

administrative functions;

(ii) Activities which deal solely with

the funding of programs, such as

program budget proposals,

disbursements, and transfer or

reprogramming of funds;

(iii) Inventories, research activities,

and studies, such as resource

inventories and routine data collection

when such actions are clearly limited in

context and intensity;

(iv) Educational and informational

programs and activities;

(v) Civil and criminal law

enforcement and investigative activities;

(vi) Activities which are advisory and

consultative to other agencies and

public and private entities; and

(vii) Activities related to trade

representation and market development

activities abroad.

(2) CSREES Categorical Exclusions (7

CFR 3407.6(a)(2))

Based on previous experience, the

following categories of CSREES actions

are excluded because they have been

found to have limited scope and

intensity and to have no significant

individual or cumulative impacts on the

quality of the human environment:

(i) The following categories of

research programs or projects of limited

size and magnitude or with only shortterm effects on the environment:

(A) Research conducted within any

laboratory, greenhouse, or other

contained facility where research

practices and safeguards prevent

environmental impacts;

(B) Surveys, inventories, and similar

studies that have limited context and

minimal intensity in terms of changes in

the environment; and

(C) Testing outside of the laboratory,

such as in small isolated field plots,

which involves the routine use of

familiar chemicals or biological

materials.

(ii) Routine renovation, rehabilitation,

or revitalization of physical facilities,

including the acquisition and

installation of equipment, where such

activity is limited in scope and

intensity.

Even though the applicant considers

that a proposed project may fall within

a categorical exclusion, CSREES may

determine that an Environmental

Assessment or an Environmental Impact

Statement is necessary for a proposed

project if substantial controversy on
Federal Register / Vol. 63, No. 2 / Monday, January 5, 1998 / Notices 395

environmental grounds exists or if other

extraordinary conditions or

circumstances are present that may

cause such activity to have a significant

environmental effect.

S. Additions to Project Description

Each project description is expected

to be complete in itself. However, in

those instances in which the inclusion

of additional information is necessary,

the number of copies submitted should

match the number of copies of the

application requested in Part V(A)

below. Each set of such materials must

be identified with the title of the project

and the name(s) of the principal

investigator(s)/project director(s) as they

appear on the ‘‘Application for

Funding.’’ Examples of additional

materials include photographs that do

not reproduce well, reprints, and other

pertinent materials which are deemed to

be unsuitable for inclusion in the body

of the proposal.

Part V—Submission of a Proposal

A. What to Submit

An original and three copies of each

grant proposal must be submitted.

Proposals should contain all requested

information when submitted. Each

proposal should be typed on 81⁄2 x 11

white paper, single-spaced, and on one

side of the page only. Please note that

the text of the proposal should be

prepared using no type smaller than 12

point font size and one-inch margins.

Staple each copy of the proposal in the

upper left-hand corner. Please do not

bind copies of the proposal.

B. Where and When To Submit

Proposals must be received on or

before February 19, 1998, and submitted

to the following mailing address:

Special Research Grants Program, Potato

Research; c/o Proposal Services Unit,

Grants Management Branch, Office of

Extramural Programs, Cooperative State

Research, Education, and Extension

Service, U.S. Department of Agriculture,

STOP 2245, 1400 Independence Ave.,

SW., Washington, DC 20250–2245,

Telephone (202) 401–5048.

Note: Hand-delivered proposals or those

delivered by overnight express service

should be brought to the following address:

Special Research Grants Program, Potato

Research; c/o Proposal Services Unit, Grants

Management Branch; Office of Extramural

Programs; CSREES/USDA; Room 303,

Aerospace Center; 901 D Street, SW.,

Washington, DC 20024. The telephone

number is (202) 401–5048.

C. Acknowledgment of Proposals

The receipt of all proposals will be

acknowledged in writing and this

acknowledgment will contain a

proposal identification number. Once

your proposal has been assigned an

identification number, please cite that

number in future correspondence.

Part VI—Selection Process and

Evaluation Criteria

A. Selection Process

Applicants should submit fully

developed proposals that meet all the

requirements set forth in this request for

proposals.

Each proposal will be evaluated in a

two-part process. First, each proposal

will be screened to ensure that it meets

the requirements as set forth in this

request for proposals. Second, proposals

that meet these requirements will be

technically evaluated by a review panel.

The individual panel members will be

selected from among those persons

recognized as specialists who are

uniquely qualified by training and

experience in their respective fields to

render expert advice on the merit of the

proposals being reviewed. The

individual views of the panel members

will be used to determine which

proposals should be recommended to

the Administrator (or his designee) for

final funding decisions.

There is no commitment by USDA to

fund any particular proposal or to make

a specific number of awards. Care will

be taken to avoid actual and potential

conflicts of interest among reviewers.

Evaluations will be confidential to

USDA staff members, peer reviewers,

and the proposed principal

investigator(s), to the extent permitted

by law.

B. Evaluation Criteria

1. Overall scientific and technical

quality of the proposal—10 points.

2. Scientific and technical quality of

the approach—10 points.

3. Relevance and importance of

proposed research to solution of specific

areas of inquiry, and application of

expected results for States beyond the

State in which the grantee resides and

will perform the work—30 points.

4. Feasibility of attaining objectives;

adequacy of professional training and

experience, facilities and equipment;

the cooperation and involvement of

multiple institutions or states—50

points.

Part VII—Supplementary Information

A. Access to Peer Review Information

After final decisions have been

announced, CSREES will, upon request,

inform the principal investigator of the

reasons for its decision on a proposal.

B. Grant Awards

1. General: Within the limit of funds

available for such purpose, the awarding

official of CSREES shall make grants to

those responsible, eligible applicants

whose proposals are judged most

meritorious in the announced program

area and procedures set forth in this

request for proposals. The date specified

by the Administrator as the effective

date of the grant shall be no later than

September 30 of the Federal fiscal year

in which the project is approved for

support and funds are appropriated for

such purpose, unless otherwise

permitted by law. It should be noted

that the project need not be initiated on

the grant effective date, but as soon

thereafter as practicable so that project

goals may be attained within the funded

project period. All funds granted by

CSREES under this request for proposals

shall be expended solely for the purpose

for which the funds are granted in

accordance with the approved

application and budget, the terms and

conditions of the award, the applicable

Federal cost principles, and the

Department’s assistance regulations

(Parts 3015, as amended by 62 FR

45947, and 3019, as amended by 62 FR

45934, of 7 CFR).

2. Organizational Management

Information: Specific management

information relating to an applicant

shall be submitted on a one-time basis

as part of the responsibility

determination prior to the award of a

grant if such information has not been

provided previously under this or

another program for which the

sponsoring agency, CSREES, is

responsible. Copies of forms

recommended for use in fulfilling the

requirements contained in this section

will be provided by CSREES as part of

the pre-award process.

3. Grant Award Document: The grant

award document shall include at a

minimum the following:

a. Legal name and address of

performing organization or institution to

whom the Administrator has awarded a

grant under this program;

b. Title of Project;

c. Name(s) and address(es) of

principal investigator(s) chosen to direct

and control approved activities;

d. Grant identification number

assigned by the Department;

e. Project period, specifying the

amount of time the Department intends

to support the project without requiring

recompetition for funds;

f. Total amount of Departmental

financial assistance approved by the

Administrator during the project period;

g. Legal authority(ies) under which

the grant is awarded;
396 Federal Register / Vol. 63, No. 2 / Monday, January 5, 1998 / Notices

h. Approved budget plan for

categorizing project funds to accomplish

the stated purpose of the grant award;

and

i. Other information or provisions

deemed necessary by CSREES to carry

out its respective granting activities or

to accomplish the purpose of a

particular grant.

4. Notice of Grant Award: The notice

of grant award, in the form of a letter,

will be prepared and will provide

pertinent instructions or information to

the grantee that is not included in the

grant award document.

5. CSREES will award standard grants

to carry out this program. A standard

grant is a funding mechanism whereby

CSREES agrees to support a specified

level of effort for a predetermined time

period without any guarantee of

additional support at a future date.

C. Use of Funds; Changes

Unless otherwise stipulated in the

terms and conditions of the grant award,

the following provisions apply:

1. Delegation of Fiscal Responsibility:

The grantee may not in whole or in part

delegate or transfer to another person,

institution, or organization the

responsibility for use or expenditure of

grant funds.

2. Changes in Project Plans:

a. The permissible changes by the

grantee, principal investigator(s), or

other key project personnel in the

approved research project grant shall be

limited to changes in methodology,

techniques, or other aspects of the

project to expedite achievement of the

project’s approved goals. If the grantee

and/or the principal investigator(s) are

uncertain as to whether a change

complies with this provision, the

question must be referred to the

Authorized Departmental Officer for a

final determination.

b. Changes in approved goals, or

objectives, shall be requested by the

grantee and approved in writing by the

Authorized Departmental Officer prior

to effecting such changes. In no event

shall requests for such changes be

approved which are outside the scope of

the original approved project.

c. Changes in approved project

leadership or the replacement or

reassignment of other key project

personnel shall be requested by the

grantee and approved in writing by the

awarding official of CSREES prior to

effecting such changes.

d. Transfers of actual performance of

the substantive programmatic work in

whole or in part and provisions for

payment of funds, whether or not

Federal funds are involved, shall be

requested by the grantee and approved

in writing by the Authorized

Departmental Officer prior to effecting

such transfers.

e. Changes in Project Period: The

project period may be extended by

CSREES without additional financial

support, for such additional period(s) as

the Authorized Departmental Officer

determines may be necessary to

complete or fulfill the purposes of an

approved project. Any extension of time

shall be conditioned upon prior request

by the grantee and approval in writing

by the Authorized Departmental Officer,

unless prescribed otherwise in the terms

and conditions of a grant.

f. Changes in Approved Budget:

Changes in an approved budget must be

requested by the grantee and approved

in writing by the authorized

departmental officer prior to instituting

such changes if the revision will involve

transfers or expenditures of amounts

requiring prior approval as set forth in

the applicable Federal costs principles,

Departmental regulations, or in the grant

award document.

D. Other Federal Statutes and

Regulations That Apply

Several other Federal statutes and

regulations apply to grant proposals

considered for review and to project

grants awarded under this program.

These include but are not limited to:

7 CFR 1.1—USDA implementation of

the Freedom of Information Act.

7 CFR Part 3, as amended by 62 FR

40924 and 60451—USDA

implementation of OMB Circular No. A–

129 regarding debt collection.

7 CFR Part 15, subpart A—USDA

implementation of Title VI of the Civil

Rights Act of 1964, as amended.

7 CFR Part 3015, as amended by 62

FR 45947—USDA Uniform Federal

Assistance Regulations, implementing

OMB directives (i.e., Circular Nos. A–

21, and A–122) and incorporating

provisions of 31 U.S.C. 6301–6308

(formerly the Federal Grant and

Cooperative Agreement Act of 1977,

Pub. L. No. 95–224), as well as general

policy requirements applicable to

recipients of Departmental financial

assistance.

7 CFR Part 3017—USDA

implementation of Governmentwide

Debarment and Suspension

(Nonprocurement) and

Governmentwide Requirements for

Drug-Free Workplace (Grants).

7 CFR Part 3018—USDA

implementation of New Restrictions on

Lobbying. Imposes prohibitions and

requirements for disclosure and

certification related to lobbying on

recipients of Federal contracts, grants,

cooperative agreements, and loans.

7 CFR Part 3019, as amended by 62

FR 45934—USDA implementation of

OMB Circular A–110, Uniform

Administrative Requirements for Grants

and Other Agreements With Institutions

of Higher Education, Hospitals, and

Other Nonprofit Organizations.

7 CFR Part 3052, 62 FR 45947—USDA

implementation of OMB Circular No. A–

133, Audits of States, Local

Governments, and Nonprofit

Organizations.

7 CFR Part 3407—CSREES procedures

to implement the National

Environmental Policy Act of 1969, as

amended.

29 U.S.C. 794, section 504 of the

Rehabilitation Act of 1973, and 7 CFR

Part 15B (USDA implementation of

statute)—prohibiting discrimination

based upon physical or mental handicap

in Federally assisted programs.

35 U.S.C. 200 et seq.—Bayh-Dole Act,

controlling allocation of rights to

inventions made by employees of small

business firms and domestic nonprofit

organizations, including universities, in

Federally assisted programs

(implementing regulations are contained

in 37 CFR Part 401).

E. Confidential Aspects of Proposals

and Awards

When a proposal results in a grant, it

becomes a part of the record of

CSREES’s transactions, available to the

public upon specific request.

Information that the Secretary

determines to be of a privileged nature

will be held in confidence to the extent

permitted by law. Therefore, any

information that the applicant wishes to

have considered as privileged should be

clearly marked as such and sent in a

separate statement, two copies of which

should accompany the proposal. The

original copy of a proposal that does not

result in a grant will be retained by

CSREES for a period of one year. Other

copies will be destroyed. Such a

proposal will be released only with the

consent of the applicant or to the extent

required by law. A proposal may be

withdrawn at any time prior to the final

action thereon.

F. Regulatory Information

For the reasons set forth in the final

Rule-related Notice to 7 CFR part 3015,

subpart V (48 FR 29115, June 24, 1983),

this program is excluded from the scope

of the Executive Order 12372 which

requires intergovernmental consultation

with State and local officials. Under the

provisions of the Paperwork Reduction

Act of 1995 (44 U.S.C. chapter 35), the

collection of information requirements

contained in this Notice have been
Federal Register / Vol. 63, No. 2 / Monday, January 5, 1998 / Notices 397

approved under OMB Document No.

0524–0022.

Done at Washington, D.C., this 24th day of

December 1997.

Colien Hefferan,

Associate Administrator, Cooperative State

Research, Education, and Extension Service.

[FR Doc. 98–119 Filed 1–2–98; 8:45 am]

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