FY 2017 Aquaculture Research_Final.pdf

Special Research Grants Program

Aquaculture Research

FY 2017 Request for Applications (RFA)

APPLICATION DEADLINE: May 17, 2017

ELIGIBILITY: See Part III, A of RFA

NATIONAL INSTITUTE OF FOOD AND AGRICULTURE; U.S. DEPARTMENT OF

AGRICULTURE

SPECIAL RESEARCH GRANTS PROGRAM: AQUACULTURE RESEARCH (AQUA)

INITIAL ANNOUNCEMENT

CATALOG OF FEDERAL DOMESTIC ASSISTANCE: This program is listed in the

Catalog of Federal Domestic Assistance under 10.200.

DATES: Applications must be received by 5:00 p.m. Eastern Time on May 17, 2017.

Applications received after this deadline will normally not be considered for funding (see Part

IV, C. of this RFA). Comments regarding this request for applications (RFA) are requested within 6 months from the issuance of this notice. Comments received after that date will be considered to the extent practicable.

STAKEHOLDER INPUT: We at the National Institute of Food and Agriculture (NIFA) seek your comments about this RFA. We will consider the comments when we develop the next RFA for the program, if applicable, and we’ll use them to meet the requirements of section 103(c)(2) of the Agricultural Research, Extension, and Education Reform Act of 1998 (7 U.S.C.

7613(c)(2)). Please submit written stakeholder comments by the deadline set forth in the DATES portion of this Notice via e-mail to: Policy@nifa.usda.gov. (This e-mail address is intended only for receiving comments regarding this RFA and not requesting information or forms.) In your comments, please state that you are responding to the Aquaculture Research RFA.

Visit the NIFA website to access a factsheet on the Center of Excellence (COE) designation process, including COE criteria, and a list of programs that offered COE opportunities in FY

2017. You may also review a recording of COE outreach webinars held in February and March of 2015 from the site. We will update COE webpages as appropriate.

EXECUTIVE SUMMARY: NIFA requests applications for the Aquaculture Research

Competitive Grants Program (henceforth, Aquaculture Research program) for Fiscal Year (FY)

2017 to fund applied aquaculture research projects in the areas of: 1) genetics; 2) disease; 3) production systems; and 4) economics. The anticipated amount available for support of this program in FY 2017 is approximately $1.2 million. This RFA is being released prior to the passage of an appropriations act for FY 2017. Enactment of additional continuing resolutions or an appropriations act may affect the availability or level of funding for this program.

This notice identifies the objectives for Aquaculture Research program projects, deadline dates, funding information, eligibility criteria for projects and applicants, and application forms and associated instructions needed to apply for an Aquaculture Research program grant.

mailto:Policy@nifa.usda.gov https://nifa.usda.gov/centers-excellence

Table of Contents

PART I—FUNDING OPPORTUNITY DESCRIPTION

A. Legislative Authority and Background B. Purpose and Priorities

PART II—AWARD INFORMATION

A. Available Funding B. Types of Applications C. Project Types D. Responsible and Ethical Conduct of Research

PART III—ELIGIBILITY INFORMATION

A. Eligible Applicants B. Cost Sharing or Matching

PART IV—APPLICATION AND SUBMISSION INFORMATION

A. Electronic Application Package B. Content and Form of Application Submission C. Submission Dates and Times D. Funding Restrictions E. Other Submission Requirements

PART V—APPLICATION REVIEW REQUIREMENTS

A. General B. Evaluation Criteria C. Conflicts of Interest and Confidentiality D. Organizational Management Information E. Application Disposition

PART VI—AWARD ADMINISTRATION

A. General B. Award Notice C. Administrative and National Policy Requirements D. Expected Program Outputs and Reporting Requirements

PART VII—AGENCY CONTACT

PART VIII—OTHER INFORMATION

A. Use of Funds; Changes B. Confidential Aspects of Applications and Awards C. Regulatory Information D. Definitions

PART I—FUNDING OPPORTUNITY DESCRIPTION

A. Legislative Authority and Background

The authority for the Aquaculture Research program is contained in the Competitive, Special, and Facilities Research Grant Act, Pub. L. No. 89-106, as amended (7 USC 450i(c)(1)(A)).

B. Purpose and Priorities

The purpose of the NIFA Aquaculture Research program is to support the development of an environmentally and economically sustainable aquaculture industry in the U.S. by generating new science-based information and technology to address industry constraints. Results of projects supported by this program are intended to help improve the profitability of the U.S. aquaculture industry, reduce the U.S. trade deficit, increase domestic food security, provide markets for U.S.-produced products, increase domestic aquaculture business investment opportunities, and provide more jobs for rural and coastal America.

Aquaculture produces more than half of the seafood consumed globally, and this contribution is expected to grow. Although U.S. aquaculture production has shown growth, the U.S. currently has an approximately $12 billion trade deficit in seafood products and imports more than 90%

(by value) of seafood consumed. The factors that limit aquaculture in the U.S. are complex and multifaceted. Applied research in genetics, disease, production systems, and economics is needed to develop practical solutions that will facilitate growth of the U.S. aquaculture industry. This research will help reduce the U.S. trade deficit in seafood products and enhance the capacity of the U.S aquaculture industry to contribute to domestic and global food security and economic growth.

For this FY 2017 Aquaculture Research program, NIFA is soliciting applied aquaculture research applications. Applications must:

1) directly address major constraints to the U.S. aquaculture industry; and

2) focus on one or more of the following Program Area Priorities:

Genetics of commercial aquaculture species;

Critical disease issues impacting commercial aquaculture species;

Design of environmentally and economically sustainable aquaculture production systems; or

Economic research for increasing aquaculture profitability.

Priorities defined in this RFA directly align with the NIFA Strategic Plan - FY 2014-2018

(http://nifa.usda.gov/resource/nifa-strategic-plan-fy2014-fy2018), specifically, GOAL 1, SUB-

GOAL 1.1.

Other key information:

This program is limited to applied research.

Applications must clearly state how the research results or technology will be transferred to end-users outside of direct scientific peers.

http://nifa.usda.gov/resource/nifa-strategic-plan-fy2014-fy2018

Applications that involve industry participation are encouraged.

Applicants must clearly describe how their specific research project will advance U.S.

aquaculture production in the short or medium-term (1-5 years after the grant ends).

Applicants must include power analyses if experimental animals are used. Studies comparing treatment groups must justify the sample size for each experimental group, considering the magnitude of the treatment difference for the response variable, standard deviation for the response variable, power, and level of significance (i.e., probability of making a Type I error).

Applicants are strongly encouraged to review the Use of Fishes in Research Committee document Guidelines for the Use of Fishes in Research (2014) which can be found at:

https://fisheries.org/policy-media/science-guidelines/guidelines-for-the-use-of-fishes-in-research/when developing applications for submission to this RFA.

Applicants must provide a plan to release research results to the public in a timely manner and provide a description and budgeted plan for the release of research results that is compliant with the terms and conditions that govern USDA NIFA-funded projects in aquaculture. Terms and conditions can be found at:

http://www.nifa.usda.gov/business/awards/awardterms.html

The inclusion of students actively engaged in the scholarship of the research projects is strongly encouraged (particularly the inclusion of undergraduate student interns and trainees, graduate students, and post-doctoral research associates to provide hands-on, experiential learning and training opportunities). Actively engaged students should be encouraged to contribute to presentations, articles, posters, and other expressions of scholarship that reflect their own work on the project.

NIFA encourages (but does not require) projects that develop content suitable for delivery through eXtension (https://extension.org/).

NIFA supports global engagement that advances U.S. agricultural goals. To attain the agency's goals for U.S. agriculture, global competence of our nation’s agricultural workforce, and safe and nutritious food security in a growing world, NIFA recognizes that collaboration with international partners can contribute to advances in U.S. agriculture. In an increasingly interconnected world, these U.S. advances may have global importance. Thus, applications are encouraged to include collaborations with international partners, if appropriate, but may only be submitted by eligible U.S. institutions. Such applications may include subcontracts to international partners or other institutions and must clearly demonstrate benefits to the U.S.

Additional guidance on including international activities is provided on the AFRI International

Partnerships webpage.

https://fisheries.org/policy-media/science-guidelines/guidelines-for-the-use-of-fishes-in-research/ https://fisheries.org/policy-media/science-guidelines/guidelines-for-the-use-of-fishes-in-research/ http://www.nifa.usda.gov/business/awards/awardterms.html https://extension.org/ https://nifa.usda.gov/resource/afri-international-partnerships https://nifa.usda.gov/resource/afri-international-partnerships

PART II—AWARD INFORMATION

A. Available Funding

The anticipated amount available for NIFA support of this program in FY 2017 is approximately

$1.2 million, which is anticipated to fund four awards in FY 2017. This RFA is being released prior to the passage of an appropriations act for FY 2017. Enactment of additional continuing resolutions or an appropriations act may affect the availability or level of funding for this program.

There is no commitment by USDA to fund any particular application or to make a specific number of awards.

The Automated Standard Applications for Payment System (ASAP), operated by the Department of Treasury’s Bureau of the Fiscal Service, is the designated payment system for awards resulting from this RFA. For more information see https://www.fiscal.treasury.gov/fsservices/gov/pmt/asap/asap_home.htm.

B. Types of Applications

In FY 2017, you may only submit an application to the Aquaculture Research program as a New or as a Resubmission application.

New application. This is a project application that has not been previously submitted to the

Aquaculture Research program. We will review all new applications competitively using the selection process and evaluation criteria described in Part V—Application Review Requirements.

Resubmitted application. This is an application that had previously been submitted to the

Aquaculture Research Program but not funded. Project Directors (PDs) must respond to the previous review panel summary (see Response to Previous Review, Part IV, B.3.). We must receive resubmitted applications by the relevant due dates. We will evaluate resubmitted applications in competition with other pending applications in the appropriate area to which they are assigned and review them according to the same evaluation criteria (Part V, B) as new applications.

C. Project Types

This program will make research awards up to $300,000 (total project, not per year). The start date of a project must be before October 1, 2017. Project periods for this program are limited to a maximum duration of 2 years. Recipients may be eligible for a no-cost extension for a third year, but no carryover or extension is permitted for any project beyond 3 years (any unexpended funds must be returned to the U.S. Treasury).

https://www.fiscal.treasury.gov/fsservices/gov/pmt/asap/asap_home.htm

D. Responsible and Ethical Conduct of Research

In accordance with sections 2, 3, and 8 of 2 CFR Part 422, institutions that conduct USDA-funded extramural research must foster an atmosphere conducive to research integrity, bear primary responsibility for prevention and detection of research misconduct, and maintain and effectively communicate and train their staff regarding policies and procedures. In the event an application to NIFA results in an award, the Authorized Representative (AR) assures, through acceptance of the award that the institution will comply with the above requirements. Award recipients shall, upon request, make available to NIFA the policies, procedures, and documentation to support the conduct of the training. See https://nifa.usda.gov/responsible-and-ethical-conduct-research.

https://nifa.usda.gov/responsible-and-ethical-conduct-research https://nifa.usda.gov/responsible-and-ethical-conduct-research

PART III—ELIGIBILITY INFORMATION

A. Eligible Applicants

Applications may only be submitted by State agricultural experiment stations, all colleges and universities, other research institutions and organizations, Federal agencies, private organizations or corporations, and individuals for the purpose of conducting research, extension, or education activities to facilitate or expand promising breakthroughs in areas of the food and agricultural sciences of importance to the United States.

Award recipients may subcontract to organizations not eligible to apply provided such organizations are necessary for the conduct of the project. Failure to meet an eligibility criterion by the time of application deadline may result in the application being excluded from consideration or, even though an application may be reviewed, will preclude NIFA from making an award.

B. Cost Sharing or Matching

In accordance with section 1492 of the National Agricultural Research, Extension, and Teaching

Policy Act of 1977 (7 U.S.C. 3371), as added by section 7128 of the Agricultural Act of 2014

(Pub. L. 113-79), for grants awarded after October 1, 2014, the recipient of an award from the

Aquaculture Research program must provide funds, in-kind contributions, or a combination of both, from sources other than funds provided through such grant in an amount that is at least equal to the amount awarded by NIFA unless one of the exemptions described herein is applicable. Note that NIFA included information at:

http://www.nifa.usda.gov/business/awards/matching_require.html to further assist you in determining if you must meet the new matching requirement.

The matching funds requirement does not apply to grants awarded:

1. To a research agency of the United States Department of Agriculture (USDA); or

2. To an entity eligible to receive funds under a capacity and infrastructure program

(as defined in section 251(f)(1)(C) of the Department of Agriculture

Reorganization Act of 1994, 7 U.S.C. 6971(f)(1)(C)), including a partner (see Part

VIII, E. Definitions for definition of partnership) of such an entity.

Entities eligible to receive funds under a capacity and infrastructure program and exempt from the matching funds requirement include:

a. 1862 Land-grant Institutions, including State Agricultural Experiment

Stations receiving funding under the Hatch Act of 1887

b. 1890 Land-grant Institutions

c. 1994 Land-grant Institutions http://www.nifa.usda.gov/business/awards/matching_require.html

d. Entities eligible to receive funds under the Continuing Animal Health and

Disease, Food Security, and Stewardship Research, Education, and

Extension Program Funds — Capacity and Infrastructure Program (CIP)

e. Hispanic-Serving Agricultural Colleges and Universities (HSACU)

f. Insular Area Schools Eligible to Receive Funds from the Distance

Education/Resident Instruction Grant Programs

g. Entities eligible to receive funds under the of McIntire-Stennis

Cooperative Forestry Program Funds

h. Non-Land Grant Colleges of Agriculture (NLGCA) – (for exemption from the new matching requirement, these applications must include NLGCA certification, see instructions for requesting certifications at http://www.nifa.usda.gov/form/form.html, and for attaching the certification in Part IV, B. of this RFA)

i. Entities eligible to receive funds under a program established under section 1417(b) of the National Agricultural Research, Extension, and

Teaching Policy Act of 1977 (7 U.S.C. 3152(b)), including: (1) 1890

Institution Teaching, Research, and Extension Capacity Building Grants

Program; (2) Higher Education Challenge Grants Program; (3) Higher

Education Multicultural Scholars Program; and (4) Food and Agricultural

Sciences National Needs Graduate and Postgraduate Fellowship Grants

Program

j. Individual public or private, nonprofit Alaska Native-Serving and Native

Hawaiian-Serving Institutions of higher education (see 20 U.S.C. 1059d)

A proposal submitted in response to this RFA may indicate that the work will be completed by multiple entities as a collaborative partnership. All partners must have a substantial involvement in the project throughout the life of the project. If a partnership among multiple entities is proposed, the proposal must clearly identify the following:

1) A narrative of each entity’s clearly established role in the project;

2) How each entity involved as a partner on the project will contribute to execution of project objectives, determination of experimental design, development of the project work plan and time table, and submission of collaborative, timely reports;

and

3) A comprehensive project budget that reflects each entity’s financial or third party in-kind contribution (see section 2 of 7 CFR 3430 or section 96 of 2 CFR part

200) to the total project budget costs.

If a proposal indicates that the work on the project will be completed by multiple entities as partners, and at least one entity is exempt from the matching requirement under #2 above, the entire project will be exempt from the matching requirement regardless of whether all entities involved are otherwise exempt. Any partner entity can serve as the lead entity on the project. All partners must be significantly involved in the project.

http://www.nifa.usda.gov/form/form.html

After proposals have been recommended for award, NIFA will determine if the submitted proposal and proposed division of work reflects substantial involvement of all entities involved.

If a proposal is recommended for award to a lead entity not otherwise exempt from the matching requirement and the proposal does not reflect substantial involvement of at least one partner that is exempt under #2 above, then the matching requirement will apply. Exemption from the matching requirement for an entity not otherwise exempt is limited to the project for which it is a partner.

Waiver of Match - NIFA may waive the matching funds requirement for a recipient for one year with respect to a competitive grant that involves research or extension activities that are consistent with the priorities established by the National Agricultural Research, Education, Extension and Economics Advisory Board (NAREEEAB) for the year involved. To determine whether proposed activities are consistent with the priorities of the NAREEEAB, please refer to the 2014 Research, Education and Economics Action Plan. Instructions for requesting a waiver are included in Part IV, B. of this RFA.

C. Centers of Excellence

Pursuant to Section 7214 of the Agricultural Act of 2014 (Pub. L. 113-79), beginning in Fiscal

Year 2015, for applicable competitive research and extension programs, NIFA will recognize and provide priority in the receipt of funding to applications from “centers of excellence” that carry out research, extension, and education activities that relate to the food and agricultural sciences.

NIFA held listening sessions in July 2014 and accepted written comments from stakeholders to inform NIFA’s implementation of the COE provision. Information from the webinars and a summary of the input are available on NIFA’s website at http://nifa.usda.gov/centers-excellence.

A COE is composed of one or more of the following entities that provide financial or in-kind support to the COE.

(A) State agricultural experiment stations;

(B) Colleges and universities;

(C) University research foundations;

(D) Other research institutions and organizations;

(E) Federal agencies;

(F) National laboratories;

(G) Private organizations, foundations, or corporations;

(H) Individuals; or

(I) any group consisting of two or more of the entities described in (A) through (H).

Part IV, B., 3. of this RFA contains additional requirements for COE consideration.

https://nifa.usda.gov/resource/ree-action-plan http://nifa.usda.gov/centers-excellence

PART IV—APPLICATION AND SUBMISSION INFORMATION

A. Electronic Application Package

Only electronic applications may be submitted via Grants.gov to NIFA in response to this RFA.

We urge you to submit early to the Grants.gov system. For information about the pre-award phase of the grant lifecycle see http://www.grants.gov/web/grants/learn-grants/grants-101/pre-award-phase.html.

New Users of Grants.gov

Prior to preparing an application, we recommend that the Project Director/Principal Investigator

(PD/PI) first contact an Authorized Representative (AR, also referred to as Authorized

Organizational Representative, or AOR) to determine if the organization is prepared to submit electronic applications through Grants.gov. If not (e.g., the institution/organization is new to the electronic grant application process through Grants.gov), then the one-time registration process must be completed PRIOR to submitting an application. It can take as long as two weeks to complete the registration process so it is critical to begin as soon as possible. In such situations, the AR should go to “Register,” in the top right corner of the Grants.gov web page (or go to http://www.grants.gov/web/grants/register.html), for information on registering the institution/organization with Grants.gov. Part II,1 of the NIFA Grants.gov Application Guide contains detailed information regarding the registration process. Refer to item 2, below, to locate the “NIFA Grants.gov Application Guide.”

Steps to Obtain Application Package Materials

To receive application materials:

1. You must download and install a version of Adobe Reader compatible with Grants.gov to access, complete, and submit applications. For basic system requirements and download instructions, see http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html. Grants.gov has a test package that will help you determine whether your current version of Adobe Reader is compatible.

2. To obtain the application package from Grants.gov, go to http://www.grants.gov/web/grants/applicants/download-application-package.html and enter the funding opportunity number

Funding Opportunity Number: USDA-NIFA-SRGP-006345

From the search result, click “Select Package” to access the application package. A

Grant Application Package is tied to a particular funding opportunity. You may submit an application ONLY to the particular funding opportunity to which the Grant

Application Package is associated.

http://www.grants.gov/web/grants/learn-grants/grants-101/pre-award-phase.html http://www.grants.gov/web/grants/learn-grants/grants-101/pre-award-phase.html http://www.grants.gov/web/grants/register.html https://get.adobe.com/reader/ http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html http://www.grants.gov/web/grants/applicants/adobe-software-compatibility.html http://www.grants.gov/web/grants/applicants/download-application-package.html

Contained within the application package is the “NIFA Grants.gov Application Guide.”

This guide contains an introduction and general Grants.gov instructions, information about how to use a Grant Application Package in Grants.gov, and instructions on how to complete the application forms.

If you require assistance to access the application package (e.g., downloading or navigating Adobe forms) or submitting the application, refer to resources available on the Grants.gov website (http://www.grants.gov/web/grants/applicants/applicant-tools-and-tips.html). Grants.gov assistance is also available at:

Grants.gov customer support

800-518-4726 Toll-Free or 606-545-5035

Business Hours: 24 hours a day, 7 days a week. Closed on federal holidays.

Email: support@grants.gov

Grants.gov iPortal (see https://grants-portal.psc.gov/Welcome.aspx?pt=Grants):

Top 10 requested help topics (FAQs), Searchable knowledge base, self-service ticketing and ticket status, and live web chat (available 7 a.m. - 9 p.m. EST).

Have the following information available when contacting Grants.gov:

Funding Opportunity Number (FON)

Name of agency you are applying to

Specific area of concern

B. Content and Form of Application Submission

You should prepare electronic applications following Parts V and VI of the NIFA Grants.gov

Application Guide. This guide is part of the corresponding application package (see Section A.

of this Part). The following is additional information needed to prepare an application in response to this RFA. If there is discrepancy between the two documents, the information contained in this RFA is overriding.

Note the attachment requirements (e.g., PDF) in Part III section 3. of the guide. ANY

PROPOSALS THAT ARE NON-COMPLIANT WITH THE REQUIREMENTS (e.g., content format, PDF file format, file name restrictions, and no password protected files)

WILL BE AT RISK OF BEING EXCLUDED FROM NIFA REVIEW. Grants.gov does not check for NIFA required attachments or that attachments are in PDF format; see Part

III section 6.1 of the guide for how to check the manifest of submitted files. Partial applications will be excluded from NIFA review. We will accept subsequent submissions of an application until close of business on the closing date in the RFA (see Part V, 2.1 of the

NIFA Grants.gov Application Guide for further information).

For any questions related to the preparation of an application, review the NIFA Grants.gov

Application Guide and the applicable RFA. If assistance is still needed for preparing application forms content, contact:

Email: electronic@nifa.usda.gov

Phone: 202-401-5048

Business hours: Monday through Friday, 7 a.m. – 5 p.m. ET, excluding federal holidays.

http://www.grants.gov/web/grants/applicants/applicant-tools-and-tips.html http://www.grants.gov/web/grants/applicants/applicant-tools-and-tips.html http://www.opm.gov/policy-data-oversight/snow-dismissal-procedures/federal-holidays/ mailto:support@grants.gov https://grants-portal.psc.gov/Welcome.aspx?pt=Grants mailto:electronic@nifa.usda.gov

1. SF 424 R&R Cover Sheet

Information related to the questions on this form is dealt with in detail in Part V, 2. of the NIFA

Grants.gov Application Guide. See Section 2.18 of the NIFA Application Guide which provides that the applicant’s electronic signature on the SF-424 affirms its agreement with Federal representations and assurances (e.g., Prohibition against Entities Requiring Certain Internal

Confidentiality Agreements…)

2. SF 424 R&R Project/Performance Site Location(s)

Information related to the questions on this form is dealt with in detail in Part V, 3. of the NIFA

Grants.gov Application Guide.

3. R&R Other Project Information Form

Information related to the questions on this form is dealt with in detail in Part V, 4. of the NIFA

a. Field 7. Project Summary/Abstract. See Part V. 4.7 of NIFA Grants.gov Application Guide for further instructions and a link to a suggested template. The summary may be used for public databases and announcements, therefore, it should be written for a general audience.

b. Field 8. Project Narrative.

NOTE: The Project Narrative shall not exceed a total of 15 pages, including all tables and figures. (12-point font; line spacing not exceeding six lines per vertical inch; and 1-inch margins) regardless of whether it is single- or double-spaced. Please take note, as this differs from other

NIFA grant programs. Applicants requesting consideration of center of excellence status must include their justification within the 15-page limit of the project narrative. This maximum (15 pages) is established to ensure fair and equitable competition. Applications exceeding this page limit will be returned without review. The Project Narrative attachment should include two components: 1) a one-page response to the previous review panel summary titled “Response to

Previous Review” included as the first page of the attachment; and 2) the 15-page Project

Narrative.

Appendices, such as support letters to the Project Narrative, may be included in Field 12. Other

Attachments (see Part V, 4.12 of the NIFA Grants.gov Application Guide) if they are directly germane to the proposed project and are not included in the 15-page limit.

The Project Narrative attachment must include all of the following:

1) Response to Previous Review (if applicable)

This requirement only applies to Resubmitted Applications as described in Part II, B. The one-page Response to Previous Review does not count against the 15-page limit of the Project

Narrative.

2) Project Narrative

a. Introduction

i. Include a clear statement of the long-term goal(s) and supporting objectives of the proposed project.

ii. Summarize the body of knowledge that substantiates the need for the proposed project.

iii. Include preliminary data/information pertinent to the proposed project. All works cited should be referenced.

b. Rationale and Significance

i. Present the rationale behind the proposed project and reasons for performing the work at the proposing institution;

ii. Describe the specific relationship of the proposed project to the Program Area Priorities, and state which of the four Program Area Priorities the proposal is primarily addressing.

Applications that do not address at least one Program Area Priority will not be reviewed;

iii. Clearly document the expected improvement in and sustainability of the U.S. aquaculture industry;

iv. Estimate the magnitude of the issues and their relevance to stakeholders and to ongoing state-federal food and agricultural research, education, and extension programs; and

v. Document the role of stakeholders in problem identification, planning, implementation, and evaluation as appropriate. State the degree of industry participation and involvement in the proposed project.

c. Approach

The activities proposed or problems being addressed must be clearly stated and the approaches applied must be clearly described. Specifically, this section must include:

i. A description of the activities proposed and the sequence in which the activities are to be performed;

ii. Methods to be used in carrying out the proposed project, including the feasibility of the methods and the role and qualification of project partner(s);

iii. Expected outcomes

iv. Means by which results will be analyzed, assessed, or interpreted;

v. How results or products will be used;

vi. Plans to communicate results to stakeholders and the public (e.g., extension, technology transfer, education activities, workshops) that articulate how the research results or technology will be transferred to end-users outside of direct scientific peers;

vii. How this specific research project will advance aquaculture production in the U.S. in the short or medium term (1-5 years after the grant ends). How the impacts will be evaluated and reported (a logic model is one suggestion to do this);

viii. If undergraduate and graduate students, and post-doctoral research fellows are included, how they will be actively engaged in the research;

ix. Pitfalls that may be encountered;

x. Limitations to proposed procedures;

xi. A full explanation of any materials, procedures, situations, or activities related to the project that may be hazardous to personnel, along with an outline or precautions to be exercised to avoid or mitigate the effects of such hazards; and

xii. A timeline for attainment of objectives and for production of deliverables that includes annual milestones with specific, measurable outcomes.

d. Center of Excellence Justification, as applicable

For consideration as a COE, you must provide a brief justification statement, as part of your

Project Narrative and within the page limits provided, which describes how you meet the standards of a COE, based on the following criteria:

i. The ability of the COE to ensure coordination and cost effectiveness by reducing unnecessarily duplicative efforts in the research, teaching, and extension activities outlined in this application;

ii. In addition to any applicable matching requirements, the ability of the COE to leverage available resources by using public-private partnerships among agricultural industry groups, institutions of higher education, and the federal government in the proposed research and/or extension activities outlined in this application. Resources leveraged should be commensurate with the size of the award;

iii. The planned scope and capability of the COE to implement teaching initiatives that increase awareness and effectively disseminate solutions to target audiences through extension activities of the proposed research and/or extension activity outlined in this application; and

iv. The ability or capacity of the COE to increase the economic returns to rural communities by identifying, attracting, and directing funds to high-priority agricultural issues in support of and as a result of the implementation of the proposed research and/or extension activity outlined in this application.

Additionally, where practicable (not required), COE applicants should describe proposed efforts to improve teaching capacity and infrastructure at colleges and universities

(including land-grant colleges and universities, cooperating forestry schools, certified

Non-Land Grant Colleges of Agriculture (NLGCA) (list of certified NLGCA is available at http://www.nifa.usda.gov/funding/pdfs/nlgca_colleges.pdf), and schools of veterinary medicine).

c. Field 12. Add Other Attachments.

See Part III Section 3.1 of the NIFA Grants.gov Application Guide for NIFA attachment specifications. The following is an additional instruction:

Non-Land Grant College of Agriculture (NLGCA) Certification. If you claim exemption from the new matching requirements as a NLGCA, then you must attach the NLGCA certification letter you requested and received from NIFA. Title the attachment ‘NLGCA

Certification’ and save the file as ‘NLGCACertification.’ To request certification as an NLGCA, complete the form at http://www.nifa.usda.gov/form/form.html. Note that certification can take up to 30 days from submission of request form.

http://www.nifa.usda.gov/funding/pdfs/nlgca_colleges.pdf http://www.nifa.usda.gov/form/form.html

4. R&R Senior/Key Person Profile (Expanded)

Information related to the questions on this form is dealt with in detail in Part V, 5. of the NIFA

Grants.gov Application Guide. This section of the Guide includes information about the people who require a Senior/Key Person Profile, and details about the Biographical Sketch and the

Current and Pending Support, including a link to a suggested template for the Current and

Pending Support.

5. R&R Personal Data – As noted in Part V, 6. of the NIFA Grants.gov Application Guide, the submission of this information is voluntary and is not a precondition of award. However, NIFA strongly encourages applicants to provide the requested information to help NIFA identify and address any inequities based on gender, race, ethnicity, or disability of its proposed PDs/PIs and co-PDs/PIs. Information not submitted will seriously undermine the statistical validity, and therefore the usefulness, of information received from others. The information you submit will be kept confidential and will be used only for tracking and statistical purposes necessary to meet the demands of the agency and will not be part of the review process.

6. R&R Budget

Information related to the questions on this form is dealt with in detail in Part V, 7. of the NIFA

Grants.gov Application Guide. The following are additional instructions:

a. Matching Funds

If you conclude that matching funds are not required as specified under Part III, B Cost-

Sharing or Matching, you must include a justification in the Budget Narrative. We will consider this justification when determining final matching requirements or if required matching can be waived. NIFA retains the right to make final determinations regarding matching requirements.

For grants that require matching funds as specified under Part III, B, the Budget Narrative should include written verification of commitments of matching support (including both cash and in-kind contributions) from third parties. Written verification means:

(i) For any third party cash contributions, a separate pledge agreement for each donation, signed by the authorized representatives of the donor organization (and the applicant organization ONLY if provided after submission of the application), must include:

Donor’s name, address, and telephone number;

Name of the applicant organization;

Title of the project;

Dollar amount of the cash donation (the budget narrative must describe how the cash donation will be used);

Statement that the donor will pay the cash contribution during the grant period;

and

Whether the applicant can designate cash as the applicant deems necessary or the cash contribution has been designated to a particular budget item.

(ii) For any third party in-kind contributions, a separate pledge agreement for each contribution, signed by the authorized representatives of the donor organization (and the applicant organization ONLY if provided after submission of the application), must include:

Donor’s name, address, and telephone number;

Name of the applicant organization;

Title of the project;

A good faith estimate of the current fair market value of the third party in-kind contribution and a description of how the fair market value was determined; and

A statement that the donor will make the contribution during the grant period.

Summarize on a separate page the sources and amount of all matching support from outside the applicant institution and place that information in the proposal as part of the

Budget Narrative. You must place all pledge agreements in the proposal immediately following the summary of matching support.

Establish the value of applicant contributions in accordance with applicable cost principles.

Refer to 2 CFR Part 200, “Uniform Administrative Requirements, Cost Principles, and Audit

Requirements for Federal Awards,” for further guidance and other requirements relating to matching and allowable costs.

b. Indirect Costs

For further information and instructions regarding indirect costs, refer to Part V, section 7.9 of the NIFA Grants.gov Application Guide. For indirect cost funding restrictions, refer to Part IV, D. of this RFA.

7. Supplemental Information Form

Information related to the questions on this form is dealt with in detail in Part VI, 1. of the NIFA

a. Field 2. Program to which you are applying. Enter the program code name (i.e., enter

“AQUACULTURE RESEARCH”) and the program code (i.e., enter “AQUA”). Note that accurate entry of the program code is very important for proper and timely processing of an application.

b. Field 8. Conflict of Interest List. See Part VI, 1.8 of the NIFA Grants.gov Application

Guide for further instructions and a link to a suggested template.

C. Submission Dates and Times

We recommend that you conduct an administrative review of the application before submission of it via Grants.gov to ensure that it complies with all preparation instructions. An application checklist is included in Part VII of the NIFA Grants.gov Application Guide to assist with this review.

Instructions for submitting an application are included in Part IV, Section 1.9 of the NIFA

Applications must be received by Grants.gov by 5:00 p.m. Eastern Time on May 17, 2017.

Applications received after this deadline will normally not be considered for funding.

If you have trouble submitting an application to Grants.gov, you should FIRST contact the

Grants.gov Help Desk to resolve any problems. Keep a record of any such correspondence.

See Part IV. A for Grants.gov contact information.

We send email correspondence to the AR regarding the status of submitted applications. We strongly encourage you to provide accurate email addresses, where designated, on the SF-424

R&R Application for Federal Assistance.

If the AR has not received correspondence from NIFA regarding a submitted application within

30 days of the established deadline, contact the Agency Contact identified in Part VII of the RFA and request the proposal number assigned to the application. Failure to do so may result in the application not being considered for funding by the peer review panel. Once the application has been assigned a proposal number, you should cite this number on all future correspondence.

D. Funding Restrictions

Section 713 of the Consolidated Appropriations Act, 2016 (Pub. L. 114-113) limits indirect costs to 30 percent of the total Federal funds provided (or 42.857 percent of total direct costs) under each award. Similar language may be included in the FY 2017 appropriation, therefore, when preparing budgets, you should limit your request for the recovery of indirect costs to the lesser of your institution’s official negotiated indirect cost rate or the equivalent of 30 percent of total

Federal funds awarded. See Part V section 7.9 of the NIFA Grants.gov Application Guide for further indirect cost information. See webpage at http://nifa.usda.gov/indirect-costs for indirect cost options.

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

http://nifa.usda.gov/indirect-costs

The use of grant funds to plan, acquire, or construct a building or facility is not allowed under this program. With prior approval, and in accordance with the cost principles set forth in 2 CFR part 200, some grant funds may be used for minor alterations, renovations, or repairs deemed necessary to retrofit existing teaching or research spaces in order to carry out a funded project.

However, requests to use grant funds for such purposes must demonstrate that the work is essential to achieving the major purpose of the project. Grant funds may not be used for endowment investing.

Statutory language or agency policy limits the maximum potential funding period (including any awards transferred from another institution or organization) to 3 years in duration. The funding period will commence on the effective date cited in the award instrument. Any such limitation also applies to subcontracts made under awards subject to a funding period limitation.

E. Other Submission Requirements

You should follow the submission requirements noted in Part IV, section 1.9 in the document entitled “NIFA Grants.gov Application Guide.”

For information about the status of a submitted application, see Part III., section 6. of the NIFA

PART V—APPLICATION REVIEW REQUIREMENTS

A. General

We evaluate each application in a two-part process. First, we screen each application to ensure that it meets the administrative requirements as set forth in this RFA. Second, a technical review panel will evaluate applications that meet the administrative requirements.

We select reviewers based upon their training and experience in relevant scientific, extension, or education fields, taking into account the following factors:

the level of relevant formal scientific, technical education, or extension experience of the individual, as well as the extent to which an individual is engaged in relevant research, education, or extension activities;

the need to include experts from various areas of specialization within relevant scientific, education, or extension fields;

the need to include other experts (e.g., producers, range or forest managers/operators, and consumers) who can assess relevance of the applications to targeted audiences and to program needs;

the need to include experts from a variety of organizational types (e.g., colleges, universities, industry, state and federal agencies, and private profit and non-profit organizations) and geographic locations;

the need to maintain a balanced composition with regard to minority and female representation and an equitable age distribution; and the need to include reviewers who can judge the effective usefulness of each application to producers and the general public.

After each peer review panel has completed its deliberations, the responsible program staff of the

Aquaculture Research program will recommend that your project be approved for support from currently available funds or be declined due to insufficient funds or unfavorable review.

The Aquaculture Research program reserves the right to negotiate with the PD/PI and/or with the submitting organization or institution regarding project revisions (e.g., reductions in the scope of work, funding level, period, or method of support) prior to recommending any project for funding.

We will send copies of reviews, not including the identity of reviewers, and a summary of the panel comments to the PD after the review process has been completed.

B. Evaluation Criteria

We will use the evaluation criteria below to review applications submitted in response to this

RFA:

The three evaluation criteria given below will be weighted equally. For the proposals selected for funding, the budget justification documents are analyzed in detail by the program as well as grants management for appropriateness of the costs proposed.

1. Proposal Relevance and Effectiveness— This ascertains if the proposed work: is applied research directed toward one of the four Program Area Priorities identified in this RFA;

directly addresses major constraints that currently limit development and progress of domestic aquaculture; and will accelerate development of the domestic aquaculture industry.

2. Technical/Scientific Merit— This assesses: whether the approach is technically sound and innovative; whether there are clear project goals and objectives; if the methods are appropriate and the proposal includes all components necessary to achieve goals and objectives; if the proposal includes a concrete, unambiguous, specific desired outcome for domestic aquaculture and has a high probability of achieving that outcome; and if the proposal includes a way to objectively determine its success at achieving its outcomes.

3. Overall Qualifications of Applicants— This ascertains whether the applicant and others on the team possess: the necessary education, experience, and training; a demonstrated record of successful technology transfer to end-users outside of direct scientific peers; and the facilities and resources to accomplish the project. This includes applicant’s record of achievement with previous funding, as well as the qualifications of project partners. If the proposal includes the use of outside consultants not yet identified, this criterion includes how clearly the selection factors for the outside consultants are set out, and the expected qualifications of the consultants based on those selection factors.

Center of Excellence Status

All eligible applicants will be competitively peer reviewed (as described in Part V, A and B of this RFA), and ranked in accordance with the evaluation criteria. Those applications that rank highly meritorious and requested to be considered as a COE will be further evaluated by the peer panel to determine whether they have met the standards to be a COE (Part III, D and

Part IV, B). In instances where they are found to be equally meritorious with the application of a non-COE, based on peer review, selection for funding will be weighed in favor of applicants meeting the COE criteria. NIFA will effectively use the COE prioritization as a

“tie breaker.” Applicants that rank highly meritorious but who did not request consideration as a COE or who are not deemed to have met the COE standards may still receive funding.

In addition, the applicant’s Notice of Award will reflect that, for the particular grant program, the applicant meets all of the requirements of a COE. Entities recognized as a COE will maintain that distinction for the duration of their period of performance or as identified in the terms and conditions of that award.

C. Conflicts of Interest and Confidentiality

During the peer evaluation process, we take extreme care to prevent any actual or perceived conflicts of interest that may impact review or evaluation. See http://www.nifa.usda.gov/business/competitive_peer_review.html for further information about conflicts of interest and confidentiality as related to the peer review process.

http://www.nifa.usda.gov/business/competitive_peer_review.html

D. Organizational Management Information

Specific management information relating to an applicant shall be submitted on a one time basis, with updates on an as needed basis. This requirement is part of the responsibility determination prior to the award of a grant identified under this RFA, if such information has not been provided previously under this or another NIFA program. We will provide you copies of forms recommended for use in fulfilling these requirements as part of the pre-award process. Although an applicant may be eligible based on its status as one of these entities, there are factors that may exclude an applicant from receiving federal financial and nonfinancial assistance and benefits under this program (e.g., debarment or suspension of an individual involved or a determination that an applicant is not responsible based on submitted organizational management information).

E. Application Disposition

An application may be withdrawn at any time before a final funding decision is made regarding…