Code of Federal Regulations (alpha)

CFR /  Title 7  /  Part 3406  /  Sec. 3406.20 Evaluation criteria for research proposals.

The maximum score a research proposal can receive is 150 points. Unless otherwise stated in the annual solicitation published in the Federal Register, the peer review panel will consider the following criteria and weights to evaluate proposals submitted: ------------------------------------------------------------------------

(a) Significance of the problem:

This criterion is used to assess the

likelihood that the project will advance or

have a substantial impact upon the body of

knowledge constituting the natural and social

sciences undergirding the agricultural,

natural resources, and food systems.

(1) Impact--Is the problem or opportunity 15 points.

to be addressed by the proposed project

clearly identified, outlined, and

delineated? Are research questions or

hypotheses precisely stated? Is the

project likely to further advance food

and agricultural research and knowledge?

Does the project have potential for

augmenting the food and agricultural

scientific knowledge base? Does the

project address a State, regional,

national, or international problem(s)?

Will the benefits to be derived from the

project transcend the applicant

institution or the grant period?

(2) Continuation plans--Are there plans 10 points.

for continuation or expansion of the

project beyond USDA support? Are there

plans for continuing this line of

research or research support activity

with the use of institutional funds after

the end of the grant? Are there

indications of external, non-Federal

support? Are there realistic plans for

making the project self-supporting? What

is the potential for royalty or patent

income, technology transfer or university-

business enterprises? What are the

probabilities of the proposed activity or

line of inquiry being pursued by

researchers at other institutions?

(3) Innovation--Are significant aspects of 10 points.

the project based on an innovative or a

non-traditional approach? Does the

project reflect creative thinking? To

what degree does the venture reflect a

unique approach that is new to the

applicant institution or new to the

entire field of study?

(4) Products and results--Are the expected 15 points.

products and results of the project

clearly outlined and likely to be of high

quality? Will project results be of an

unusual or unique nature? Will the

project contribute to a better

understanding of or an improvement in the

quality, distribution, or effectiveness

of the Nation's food and agricultural

scientific and professional expertise

base, such as increasing the

participation of women and minorities?(b) Overall approach and cooperative linkages:

This criterion relates to the soundness of the

proposed approach and the quality of the

partnerships likely to evolve as a result of

the project.

(1) Proposed approach--Do the objectives 5 points.

and plan of operation appear to be sound

and appropriate relative to the proposed

initiative(s) and the impact anticipated?

Is the proposed sequence of work

appropriate? Does the proposed approach

reflect sound knowledge of current theory

and practice and awareness of previous or

ongoing related research? If the proposed

project is a continuation of a current

line of study or currently funded

project, does the proposal include

sufficient preliminary data from the

previous research or research support

activity? Does the proposed project flow

logically from the findings of the

previous stage of study? Are the

procedures scientifically and

managerially sound? Are potential

pitfalls and limitations clearly

identified? Are contingency plans

delineated? Does the timetable appear to

be readily achievable?

(2) Evaluation--Are the evaluation plans 5 points

adequate and reasonable? Do they allow

for continuous or frequent feedback

during the life of the project? Are the

individuals involved in project

evaluation skilled in evaluation

strategies and procedures? Can they

provide an objective evaluation? Do

evaluation plans facilitate the

measurement of project progress and

outcomes?

(3) Dissemination--Does the proposed 5 points.

project include clearly outlined and

realistic mechanisms that will lead to

widespread dissemination of project

results, including national electronic

communication systems, publications and

presentations at professional society

meetings?

(4) Partnerships and collaborative 15 points.

efforts--Does the project have

significant potential for advancing

cooperative ventures between the

applicant institution and a USDA agency?

Does the project workplan include an

effective role for the cooperating USDA

agency(s)? Will the project encourage and

facilitate better working relationships

in the university science community, as

well as between universities and the

public or private sector? Does the

project encourage appropriate multi-

disciplinary collaboration? Will the

project lead to long-term relationships

or cooperative partnerships that are

likely to enhance research quality or

supplement available resources?(c) Institutional capacity building:

This criterion relates to the degree to which

the project will strengthen the research

capacity of the applicant institution. In the

case of a joint project proposal, it relates

to the degree to which the project will

strengthen the research capacity of the

applicant institution and that of any other

institution assuming a major role in the

conduct of the project.

(1) Institutional enhancement--Will the 15 points.

project help the institution to advance

the expertise of current faculty in the

natural or social sciences; provide a

better research environment, state-of-the-

art equipment, or supplies; enhance

library collections related to the area

of research; or enable the institution to

provide efficacious organizational

structures and reward systems to attract,

hire and retain first-rate research

faculty and students--particularly those

from underrepresented groups?

(2) Institutional commitment--Is there 15 points.

evidence to substantiate that the

institution attributes a high-priority to

the project, that the project is linked

to the achievement of the institution's

long-term goals, that it will help

satisfy the institution's high-priority

objectives, or that the project is

supported by the institution's strategic

plans? Will the project have reasonable

access to needed resources such as

scientific instrumentation, facilities,

computer services, library and other

research support resources?(d) Personnel Resources........................... 10 Points

This criterion relates to the number and

qualifications of the key persons who will

carry out the project. Are designated project

personnel qualified to carry out a successful

project? Are there sufficient numbers of

personnel associated with the project to

achieve the stated objectives and the

anticipated outcomes? Will the project help

develop the expertise of young scientists at

the doctoral or post-doctorate level?(e) Budget and cost-effectiveness:

This criterion relates to the extent to which

the total budget adequately supports the

project and is cost-effective.

(1) Budget--Is the budget request 10 points.

justifiable? Are costs reasonable and

necessary? Will the total budget be

adequate to carry out project activities?

Are the source(s) and amount(s) of non-

Federal matching support clearly

identified and appropriately documented?

For a joint project proposal, is the

shared budget explained clearly and in

sufficient detail?

(2) Cost-effectiveness--Is the proposed 5 points.

project cost-effective? Does it

demonstrate a creative use of limited

resources, maximize research value per

dollar of USDA support, achieve economies

of scale, leverage additional funds or

have the potential to do so, focus

expertise and activity on a high-priority

research initiative(s), or promote

coalition building for current or future

ventures?(f) Overall quality of proposal................... 5 points

This criterion relates to the degree to which

the proposal complies with the application

guidelines and is of high quality. Is the

proposal enhanced by its adherence to

instructions (table of contents,

organization, pagination, margin and font

size, the 20-page limitation, appendices,

etc.); accuracy of forms; clarity of budget

narrative; well prepared vitae for all key

personnel associated with the project; and

presentation (are ideas effectively

presented, clearly articulated, thoroughly

explained, etc.)?------------------------------------------------------------------------