[Code of Federal Regulations]
[Title 7, Volume 15]
[Revised as of January 1, 2005]
From the U.S. Government Printing Office via GPO Access
[CITE: 7CFR3411.4]

[Page 394-398]
 
                          TITLE 7--AGRICULTURE
 
  CHAPTER XXXIV--COOPERATIVE STATE RESEARCH, EDUCATION, AND EXTENSION 
                   SERVICE, DEPARTMENT OF AGRICULTURE
 
PART 3411_NATIONAL RESEARCH INITIATIVE COMPETITIVE GRANTS PROGRAM
--Table of Contents
 
                            Subpart A_General
 
Sec. 3411.4  How to apply for a grant.

    (a) A program solicitation will be prepared and announced through 
publications such as the Federal Register, professional trade journals, 
agency or program handbooks, the Catalog of Federal Domestic Assistance, 
or any other appropriate means, as early as practicable each fiscal 
year. It will contain information sufficient to enable all eligible 
applicants to prepare competitive grant proposals and will be as 
complete as possible with respect to:
    (1) Descriptions of the specific research areas and the categories 
of competitive grants to improve research capabilities that the 
Department proposes to support during the fiscal year involved, 
including anticipated funds to be awarded;
    (2) Eligibility requirements;
    (3) Obtaining application kits;
    (4) Deadline dates for postmarking proposal packages;
    (5) Name and mailing address to send proposals;
    (6) Number of copies to submit;
    (7) Special requirements.
    (b) NRICGP Application Kit. A NRICGP Application Kit will be made 
available to any potential grant applicant who requests a copy. This kit 
contains required forms, certifications, and instructions applicable to 
the submission of grant proposals.
    (c) Format for grant proposals. Specific instructions regarding page 
length, type of print, size of paper, and order of assembly, etc., of 
proposals will be provided in the program solicitation. However, unless 
otherwise stated in the program solicitation, the following general 
format applies:
    (1) Application for Funding form. All grant proposals submitted by 
eligible applicants should contain an Application for Funding form, 
which must be signed by the proposing principal investigator(s) and 
endorsed by the cognizant authorized organizational representative who 
possesses the necessary authority to commit the applicant's time and 
other relevant resources. Investigators who do not sign the cover sheet 
will not be listed on the grant document in the event an award is made. 
The title of the proposal must be brief (80-character maximum), yet 
represent the major thrust of the project. Because this title will be 
used to provide information to those who may not be familiar with the 
proposed project, highly technical words or phraseology should be 
avoided where

[[Page 395]]

possible. In addition, phrases such as ``investigation of'' or 
``research on'' should not be used.
    (2) Project Summary. Each proposal must contain a project summary. 
This summary is not intended for the general reader; consequently, it 
may contain technical language comprehensible by persons in disciplines 
relating to the food and agricultural sciences. The project summary 
should be a self-contained, specific description of the activity to be 
undertaken and should focus on:
    (i) Overall project goal(s) and supporting objectives;
    (ii) Plans to accomplish project goal(s); and
    (iii) Relevance of the project to potential long-range improvements 
in and sustainability of United States agriculture or to one or more of 
the research purposes contained in Sec. 3411.15 of this part.
    (3) Project Description. The specific aims of the project must be 
included in all proposals. The text of the project description may not 
exceed 15 single or double-spaced pages and must contain the following 
components:
    (i) Introduction. A clear statement of the long-term goal(s) and 
supporting objectives of the proposed project should preface the project 
description. The most significant published work in the field under 
consideration, including the work of key project personnel on the 
current application, should be reviewed. The current status of research 
in the particular field of sciences also should be described. All work 
cited, including that of key personnel, should be referenced.
    (ii) Progress Report. If the proposal is a renewal of an existing 
project supported under this program (or its predecessor), include a 
clearly marked performance report describing results to date from the 
previous award. This section should contain the following information:
    (A) A comparison of actual accomplishments with the goals 
established for the previous award;
    (B) The reasons established goals were not met, if applicable; and
    (C) A listing of any publications resulting from the award. Copies 
of reprints or preprints may be appended to the proposal if desired.
    (iii) Rationale and Significance. Present concisely the rationale 
behind the proposed project. The objectives' specific relationship to 
potential long-range improvements in and sustainability of United States 
agriculture or relevance to one or more of the research purposes 
contained in Sec. 3411.15 of this part should be shown clearly. Any 
novel ideas or contributions that the proposed project offers also 
should be discussed in this section.
    (iv) Experimental Plan. The hypotheses or questions being asked and 
the methodology to be applied to the proposed project should be stated 
explicitly. Specifically, this section must include:
    (A) A description of the investigations and/or experiments proposed 
and the sequence in which the investigations or experiments are to be 
performed;
    (B) Techniques to be used in carrying out the proposed project, 
including the feasibility of the techniques;
    (C) Results expected;
    (D) Means by which experimental data will be analyzed or 
interpreted;
    (E) Means of applying results or accomplishing technology transfer, 
where appropriate;
    (F) Pitfalls that may be encountered;
    (G) Limitations to proposed procedures; and
    (H) A tentative schedule for conducting major steps involved in 
these investigations and/or experiments.

In describing the experimental plan, the applicant must explain fully 
any materials, procedures, situations, or activities that may be 
hazardous to personnel (whether or not they are directly related to a 
particular phase of the proposed project), along with an outline of 
precautions to be exercised to avoid or mitigate the effects of such 
hazards.
    (4) Facilities and equipment. All facilities and major items of 
equipment that are available for use or assignment to the proposed 
project during the requested period of support should be described. In 
addition, requested items of nonexpendable equipment necessary to 
conduct and successfully conclude the

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proposed project should be listed (including dollar amounts), and, if 
funds are requested for their acquisition, justified on a separate sheet 
of paper and attached to the budget.
    (5) Collaborative arrangements. If the nature of the proposed 
project requires collaboration or subcontractual arrangements with other 
research scientists, corporations, organizations, agencies, or entities, 
the applicant must identify the collaborator(s) and provide a full 
explanation of the nature of the collaboration. Evidence (i.e., letters 
of intent) should be provided to assure peer reviewers that the 
collaborators involved have agreed to render this service. In addition, 
the proposal must indicate whether or not such collaborative 
arrangement(s) have the potential for conflicts of interest.
    (6) References to Project Descriptions. All references cited should 
be complete, including titles, and should conform to an accepted journal 
format.
    (7) Personnel support. To assist peer reviewers in assessing the 
competence and experience of the proposed project staff, all personnel 
who will be involved in the proposed project must be identified clearly. 
For each principal investigator involved, and for all senior associates 
and other professional personnel who expect to work on the project, 
whether or not funds are sought for their support, the following should 
be included:
    (i) An estimate of the time commitments necessary;
    (ii) Curriculum vitae. The curriculum vitae should be limited to a 
presentation of academic and research credentials, e.g., educational, 
employment and professional history, and honors and awards. Unless 
pertinent to the project, to personal status, or to the status of the 
organization, meetings attended, seminars given, or personal data such 
as birth date, marital status, or community activities should not be 
included. The vitae shall be no more than two pages each in length, 
excluding publications listings; and
    (iii) Publication List(s). A chronological list of all publications 
in refereed journals during the past five years, including those in 
press, must be provided for each professional project member for whom a 
curriculum vitae is provided. Also list other non-refereed technical 
publications that have relevance to the proposed project. 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.
    (8) Budget. A detailed budget is required for each year of requested 
support. In addition, a summary budget is required detailing requested 
support for the overall project period. A copy of the form which must be 
used for this purpose, along with instructions for completion, is 
included in the NRICGP Application Kit identified under Sec. 3411.4(b) 
of the part and may be reproduced as needed by applicants. Funds may be 
requested under any of the categories listed, provided that the item or 
service for which support is requested may be identified as necessary 
for successful conduct of the proposed project, is allowable under 
applicable Federal cost principles, and is not prohibited under any 
applicable Federal statute or regulation. It should be noted, for 
example, that section 2(b)(7) of the Act of August 4, 1965, as amended, 
prohibits the use of funds under this program for the renovation or 
refurbishment of research spaces, purchases or installation of fixed 
equipment in such spaces, or for the planning, repair, rehabilitation, 
acquisition, or construction of a building or facility. Also, section 
2(b)(8) of the Act of August 4, 1965, as amended, requires that all 
grants, except equipment grants authorized by section 2(b)(3)(D) of the 
same Act, awarded under this part, shall be used without regard to 
matching funds or cost sharing. Equipment grants may not exceed 50 
percent of the cost of the equipment to be acquired. equipment grant 
funds also may not be used for installation, maintenance, warranty, or 
insurance expenses. Indirect costs are not permitted on equipment 
grants.
    (9) Research involving special considerations. A number of 
situations encountered in the conduct of research require special 
information and supporting documentation before funding can be approved 
for the project. If any such situation is anticipated, the proposal must 
so indicate. It is expected that a

[[Page 397]]

significant number of proposals will involve the following:
    (i) Recombinant DNA and RNA molecules. All key personnel identified 
in a proposal and all endorsing officials of a proposed performing 
entity are required to comply with the guidelines established by the 
National Institutes of Health entitled, ``Guidelines for Research 
Involving Recombinant DNA Molecules,'' as revised. The NRICGP 
Application Kit, identified above in Sec. 3411.4(b), contains forms 
which are suitable for such certification of compliance. In the event a 
project involving recombinant DNA and RNA molecules results in a grant 
award, a qualified Institutional Biosafety Committee must approve the 
research before CSREES funds will be released.
    (ii) Human subjects at risk. Applicable regulations which implement 
the Federal Policy for the Protection of Human Subjects have been issued 
by the Department under 7 CFR part 1c, Protection of Human Subjects. 
Responsibility for safeguarding the rights and welfare of human subjects 
used in any proposed project supported with grant funds provided by the 
Department rests with the performing entity. The applicant must submit a 
statement certifying that the project plan has been reviewed and 
approved by the Institutional Committee at the proposing organization or 
institution. The NRICGP Application Kit, identified above in Sec. 
3411.4(b), contains a form which is suitable for such certification. In 
the event a project involving human subjects results in a grant award, 
funds will be released only after a qualified Institutional Committee 
has approved the project.
    (iii) Experimental vertebrate animal care. The responsibility for 
the humane care and treatment of any experimental vertebrate animal, 
which has the same meaning as ``animal'' in section 2(g) of the Animal 
Welfare Act of 1966, as amended (7 U.S.C. 2132(g)), used in any project 
supported with NRICGP funds rests with the performing organization. In 
this regard, all key personnel associated with any supported project and 
all endorsing officials of the proposed performing entity are required 
to comply with applicable provisions of the Animal Welfare Act of 1966, 
as amended (7 U.S.C. 2131 et seq.) and the regulations promulgated 
thereunder by the Secretary of Agriculture in 9 CFR parts 1, 2, 3, and 
4. In this regard, the applicant must submit a statement certifying that 
the proposed project is in compliance with the aforementioned 
regulations, and that the proposed project is either under review by or 
has been reviewed and approved by an Institutional Animal Care and Use 
Committee. The NRICGP Application Kit, identified above in Sec. 
3411.4(b), contains a form which is suitable for such certification. In 
the event a project involving the use of living vertebrate animals 
results in a grant award, funds will be released only after a qualified 
Institutional Animal Care and Use Committee has approved the project.
    (10) Current and pending support. All proposals must list any other 
current public or private research support (including in-house support) 
to which key personnel identified in the proposal have committed 
portions of their time, whether or not salary support for the person(s) 
involved is included in the budget. Analogous information must be 
provided for any pending proposals that are being considered by, or that 
will be submitted in the near future to, other possible sponsors, 
including other USDA programs or agencies. Concurrent submission of 
identical or similar proposals to other possible sponsors will not 
prejudice proposal review or evaluation by the Administrator or experts 
or consultants engaged by the Administrator for this purpose. However, a 
proposal that duplicates or overlaps substantially with a proposal 
already reviewed and funded (or that will be funded) by another 
organization or agency will not be funded under this program. The Grant 
Application Kit, identified above in Sec. 3411.4(b), contains a form 
which is suitable for listing current and pending support.
    (11) Additions to project description. Each project description is 
expected by the Administrator, the members of peer review groups, and 
the relevant program staff to be complete. However, if the inclusion of 
additional information is necessary to ensure the equitable evaluation 
of the proposal (e.g., photographs which do not reproduce

[[Page 398]]

well, reprints, and other pertinent materials which are deemed to be 
unsuitable for inclusion in the text of the proposal), the number of 
copies submitted should match the number of copies of the application 
requested in the program solicitation. Each set of such materials must 
be identified with the name of the submitting organization, and the 
name(s) of the principal investigator(s). Information may not be 
appended to a proposal to circumvent page limitations prescribed for the 
project description. Extraneous materials will not be used during the 
peer review process.
    (12) Organizational management information. Specific management 
information relating to an applicant shall be submitted on a one-time 
basis prior to the award of a grant identified under this part if such 
information has not been provided previously under this or another 
program for which the sponsoring agency is responsible. Copies of forms 
recommended for use in fulfilling the requirements contained in this 
section will be provided by the agency specified in this part once a 
grant has been recommended for funding.
    (13) National Environmental Policy Act. As outlined in CSREES's 
implementing regulations of the National Environmental Policy Act of 
1969 (NEPA) at 7 CFR Part 3407, 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. These 
responsibilities include 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 listed in 7 CFR Part 3407. In this regard, the 
applicant should review the categories defined for exclusion to 
ascertain whether the proposed project may fall within one or more of 
the exclusions, and should indicate if it does so on the National 
Environmental Policy Act Exclusions Form (Form CSRS-1234) provided in 
the NRICGP Application Kit.
    (14) 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 should substantial controversy on 
environmental grounds exist or if other extraordinary conditions or 
circumstances are present that may cause such activity to have a 
significant environmental effect.

[56 FR 57952, Nov. 14, 1991. Redesignated and amended at 60 FR 63368, 
63369, Dec. 8, 1995; 61 FR 45319, Aug. 29, 1996]