Special Research Grants Program, Food Safety Research, Fiscal Year 1999: Request for Proposals and Request for Input

SUMMARY: The Cooperative State Research, Education, and Extension

Service (CSREES) announces the availability of grant funds and requests

proposals for the Special Research Grants Program, Food Safety Research

for fiscal year (FY) 1999. The amount available for support of this

program in FY 1999 is approximately $4,677,998.

This Request for Proposals (RFP) 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 Food Safety Research Project grant.

By this notice, CSREES additionally solicits stakeholder input from

any interested party regarding the FY 1999 Special Research Grants

Program, Food Safety Research for use in the development of the next

request for proposals for this program.

DATES: Proposals must be received on or before June 4, 1999. Proposals

received after June 4, 1999, will not be considered for funding.

Comments regarding this request for proposals are requested within six

months from the issuance of this notice. Comments received after that

date will be considered to the extent practicable.

ADDRESSES: To obtain a copy of this RFP and application materials,

please contact the Proposal Services Unit; Office of Extramural

Programs; Cooperative State Research, Education, and Extension Service;

U.S. Department of Agriculture; STOP 2245; 1400 Independence Avenue,

S.W.; Washington, D. C. 20250-2245; Telephone: (202) 401-5048. When

contacting the Proposal Services Unit, please indicate that you are

requesting application materials for the Special Research Grants

Program, Food Safety Research. Application materials may also be

requested via Internet by sending a message with your name, mailing

address (not e-mail) and telephone number to [email protected] that

states that you wish to receive a copy of the application materials for

the Special Research Grants Program, Food Safety Research. The

materials will then be mailed to you (not e-mailed) as quickly as

possible.

Written stakeholder comments should be submitted by first-class

mail to: Office of Extramural Programs; Competitive Research Grants and

Awards Management; USDA-CSREES; STOP 2299; 1400 Independence Avenue,

S.W., Washington, D.C. 20250-2299, or via e-mail to: RFP-

[email protected] In your comments, please indicate that you are

responding to the FY 1999 Food Safety Research Program.

FOR FURTHER INFORMATION CONTACT: Dr. Anne Bertinuson; 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) 401-6825; Internet:

[email protected].

SUPPLEMENTARY INFORMATION:

Table of Contents

Stakeholder Input

Part I--General Information

A. Legislative Authority

B. Definitions

C. Eligibility

D. Complementary Programs

Part II--Program Description

A. Purpose and Scope of the Program

B. Available Funds and Award Limitations

Part III--Preparation of a Proposal

A. Program Application Materials

B. Content of a Proposal

Part IV--Submission of a Proposal

A. What to Submit

B. Where and When to Submit

C. Acknowledgment of Proposals

Part V--Selection Process and Evaluation Criteria

A. Selection Process

B. Evaluation Criteria

Part VI--Additional 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

Stakeholder Input

CSREES is soliciting comments regarding this solicitation of

applications from any interested party. These comments will be

considered in the development of the next request for proposals for the

Program. Such comments will be forwarded to the Secretary or his

designee for use in meeting 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). This section requires the Secretary to solicit and

consider input on a current request for proposals from persons who

conduct or use agricultural research, education, or extension for use

in formulating the next request for proposals for an agricultural

research program funded on a competitive basis.

In your comments, please include the name of the program and the

fiscal year solicitation of applications to which you are responding.

Comments are requested within six months from the issuance of the

solicitation of applications. Comments received after that date will be

considered to the extent practicable.

Part I--General Information

A. Legislative Authority

The authority for this program is contained in section (c)(1)(A) of

the Competitive, Special, and Facilities Research Grant Act, Section 2

of Pub. L. No. 89-106, as amended (7 U.S.C. 450i(c)(1)(A)). This

Program is subject to the administrative provisions found in 7 CFR Part

3400 for the Special Research Grants Program which set forth procedures

to be followed when submitting grant proposals, rules governing the

evaluation of proposals, the awarding of grants, and post-award

administration of such grants. However, where there are differences

between this RFP and the administrative provisions, the RFP shall take

precedence to the extent that the administrative provisions authorize

such deviations. In accordance with the statutory authority, grants

awarded under the Special Research Grants Program are for the purpose

of conducting research to facilitate or expand promising breakthroughs

in areas of the food and agricultural sciences of importance to the

United States.

B. Definitions

For the purpose of awarding grants under this program, the

following definitions are applicable in addition to the definitions

identified in 7 CFR Part 3400.

(1) 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.

(2) Authorized organizational representative means the president,

director, or the chief executive officer of the applicant organization

or the official, designated by the president, director, or chief

executive officer of the applicant organization, who has the authority

to commit the resources of the organization.

(3) Grant means the award by the Secretary of funds to a grantee to

assist in meeting the costs of conducting, for

[[Page 16581]]

the benefit of the public, an identified project which is intended and

designed to establish, discover, elucidate, or confirm information or

the underlying mechanisms relating to a research program area

identified in this program solicitation.

(4) 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 scientific and

technical direction of the project.

(5) Prior approval means written approval evidencing prior consent

by an authorized departmental officer as defined in (1) above.

(6) 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, all colleges and universities, other research institutions

and organizations, Federal agencies, private organizations or

corporations, and individuals. Proposals must be directly related to

conducting quantitative and/or qualitative science-based risk

assessments of microbial hazards in ready-to-eat foods; the scientific

basis for critical control points, critical limits, and process

capability; or ensuring the safety of imported and domestic fruits and

vegetables. Although an applicant may be eligible based on its status

as one of these entities, there are factors which 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).

D. Complementary Programs

Research focusing exclusively on epidemiological approaches for

food safety will not be funded under this program. Research on

epidemiological approaches for food safety should be directed to the

National Research Initiative Competitive Grants Program (NRICGP). To

obtain a copy of the RFP for the NRICGP and application materials,

please contact the Proposal Services Unit, Office of Extramural

Programs, USDA/CSREES at (202) 401-5048. These materials may also be

requested via Internet by sending a message with your name, mailing

address (not e-mail) and telephone number to [email protected] that

states that you wish to receive a copy of the RFP and application

materials for the Epidemiological Approaches to Food Safety FY 1999

Program. The materials will then be mailed to you (not e-mailed) as

quickly as possible. The NRICGP deadline for these types of research

proposals is April 5, 1999.

Part II--Program Description

A. Purpose and Scope of the Program

Proposals are invited for competitive grant awards under the

Special Research Grants Program, Food Safety Research for FY 1999. The

purpose of this grant program is to support problem-solving food safety

research that addresses current and emerging National issues in food

safety. The program for FY 1999 will focus on conducting qualitative

and quantitative risk assessments of ready-to-eat foods; the scientific

basis for critical control points, critical limits, and process

capability in assuring food safety; and ensuring the safety of imported

and domestic fruits and vegetables. Proposals that address the

following issues are requested:

(1) proposals that conduct comprehensive, qualitative and/or

quantitative science-based risk assessments related to microbial

foodborne pathogens (e.g., Listeria monocytogenes, Campylobacter

jejuni, Cyclospora, Salmonella, etc.) and/or their toxins associated

with ready-to-eat foods, including those foods that are fresh,

minimally processed or processed;

(2) proposals that address the scientific basis and models for

establishing and validating critical control points, critical limits,

and process capability related to control measures for significant

foodborne microbial pathogens and/or their toxins in production,

processing and distribution of foods; or

(3) proposals that address the safety of fresh and minimally

processed imported and domestic fruits and vegetables that include: the

development of safe and efficacious techniques to enhance or ensure

microbiological safety; approaches that relate production, harvesting,

handling, transportation, and distribution control measures to the

prevention of microbial pathogen infection or cross-contamination; or

development of procedures for sampling to accurately detect the

presence of microbial pathogens and/or their toxins.

Research issue No. (1) relates to ready-to-eat foods, No. (2)

relates to any food, and No. (3) is limited to fresh fruits and

vegetables. Projects submitted for research issue No. (1) should be

primarily focused on conducting risk assessments; however, researchers

may propose to generate supporting data for use in the proposed risk

assessments, as appropriate. Risk assessment proposals should be multi-

institutional and multi-disciplinary. Proposals that focus primarily on

generating data in support of risk assessment should be submitted to

the NRICGP on epidemiological approaches for food safety that is

referenced above or submitted under one of the other two areas of this

RFP.

All proposals are to describe how the research will be transferred

for implementation. Thus, preference will be given to proposals that

have partnerships with potential users of the information derived from

the research.

B. Available Funds and Award Limitations

Funds will be awarded on a competitive basis to support research

projects that address food safety research that focuses on conducting

risk assessments on ready-to-eat foods; the scientific basis for

critical control points, critical limits, and process capability; or

ensuring the safety of imported and domestic fruits and vegetables.

Matching funds are encouraged but not required. Under this program the

Secretary may make grant awards for the support of research projects

for up to three years. The total amount of funds available in FY 1999

for support of this program is approximately $4,677,998. It is

estimated that up to $2 million will be available for grants relating

to risk assessments of ready-to-eat foods and it is anticipated that up

to $600,000 will be granted for each award. Each proposal submitted in

FY 1999 shall request funding for a period not to exceed two years.

Funding for additional years will depend upon the availability of

funds, progress toward objectives, and program priorities. FY 1999

awardees would need to recompete in future years for additional

funding.

Part III--Preparation of a Proposal

A. Program Application Materials

Program application materials will be made available to interested

entities upon request. These materials include information about the

purpose of the program, how the program will be conducted, and the

required contents of a proposal, as well as the forms needed to prepare

and submit grant applications under the program. To obtain program

application materials, please contact the Proposal Services Unit;

Office of Extramural Programs; Cooperative State

[[Page 16582]]

Research, Education, and Extension Service; U.S. Department of

Agriculture; STOP 2245; 1400 Independence Avenue, S.W.; Washington, D.

C. 20250-2245; Telephone: (202) 401-5048. When contacting the Proposal

Services Unit, please indicate that you are requesting application

materials for the Special Research Grants Program, Food Safety

Research. Application materials may also be requested via Internet by

sending a message with your name, mailing address (not e-mail) and

telephone number to [email protected] that states that you wish to

receive a copy of the application materials for the Special Research

Grants Program, Food Safety Research. The materials will then be mailed

to you (not e-mailed) as quickly as possible.

B. Content of a Proposal

(1) General

The proposal should follow these guidelines, enabling reviewers to

more easily evaluate the merits of each proposal in a systematic,

consistent fashion:

(a) The proposal should be prepared on only one side of the page

using standard size (8\1/2\'' x 11'') white paper, one inch margins,

typed or word processed using no type smaller than 12 point font, and

single spaced. Use an easily readable font face (e.g., Geneva,

Helvetica, CG Times).

(b) Each page of the proposal, including the Project Summary,

budget pages, required forms, and any appendices, should be numbered

sequentially in the upper right-hand corner.

(c) The proposal should be stapled in the upper left-hand corner.

Do not bind. An original and 9 copies (10 total) must be submitted in

one package, along with 20 copies of the ``Project Summary'' as a

separate attachment.

(2) Cover Page

Each copy of each grant proposal must contain an ``Application for

Funding'', Form CSREES-661. 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)(PI/PD) 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 PI/PD or co-PI/PD 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:

(a) 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.

(b) Program to Which You Are Applying (Block 7). ``Special Research

Grants Program, Food Safety Research'' should be inserted in this

block. You may ignore the reference to a Federal Register announcement.

(c) Program Area and Number (Block 8). The name of the program

area, ``Food Safety Research,'' should be inserted in this block. You

should ignore references to the program number and the Federal Register

announcement.

(d) Types of Award Request (Block 13). There are three types of

proposals that may be submitted to this program: new proposals, renewal

proposals, and resubmitted proposals. If the submitted proposal

describes a project that has not been previously submitted to the

Special Food Safety Research Grant Program, please check ``New.'' If

the proposal being submitted requests additional funding for a project

beyond the period that was approved in an original or amended award,

check ``Renewal.'' Please indicate the prior USDA award number in the

appropriate location in this block. Proposals for renewed funding will

compete on the same basis with all other proposals submitted to the

Program at the same time. These proposals must contain the same

information as required for new applications, and additionally must

contain a Progress Report. As discussed below the Progress Report must

be included within the 15 pages of the Project Description. If the

proposal was previously submitted to the Special Food Safety Research

Grant Program but not funded, check ``Resubmission.'' The resubmitted

proposal should clearly indicate the changes that have been made in the

proposed project. Proposals which appear to be resubmissions

(regardless of the designation) are regarded as such by the Program and

the panel, and compete on the same basis with all other proposals

submitted to the Program at the same time. However, a clear statement

acknowledging comment of the previous review, indicating revisions,

rebuttals, etc., can positively influence the review of the proposal.

Therefore, for resubmitted proposals, as discussed below the

investigator(s) must respond to the previous submission's panel summary

on no more than one page, titled ``RESPONSE TO PREVIOUS REVIEW'' which

is to be placed directly after the Project Summary. Failure to include

a ``RESPONSE TO PREVIOUS REVIEW'' may negatively influence the review

of a proposal.

(e) Principal Investigator(s)/Project Director(s) (Block 15). The

designation of excessive numbers of co-PI/PD's creates problems during

final review and award processes. Listing multiple co-PI/PD's, beyond

those required for genuine collaboration, is therefore discouraged.

Note that providing a Social Security Number is voluntary, but is an

integral part of the CSREES information system and will assist in the

processing of the proposal.

(f) 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, 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.

(g) 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.

(3) Table of Contents

For consistency and ease in locating information, each proposal

must contain a detailed Table of Contents just after the Cover Page.

The Table of Contents should include page numbers for each component of

the proposal. Page numbers, shown in the upper right-hand corner,

should begin with the first page of the Project Summary.

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(4) Project Summary

The proposal must contain a Project Summary of 250 words or less on

a separate page. The summary must be self-contained and describe the

overall goals and relevance of the project. The summary should also

contain a listing of the major organizations participating in the

project. The Project Summary should immediately follow the Table of

Contents. In addition to the summary, this page must include the title

of the project, the name of the applicant organization, the authorized

organizational representative, and the principal investigator(s)/

project director(s), followed by the summary.

(5) Response to Previous Review (if resubmission)

For the content of this section, see the information on resubmitted

proposals in Part III, B.(2)(d), Types of Proposals, of this RFP.

(6) Project Description

PLEASE NOTE: The Project Description shall not exceed 15 pages of

written text and may not exceed a total of 20 pages including figures

and tables. This maximum has been established to ensure fair and

equitable competition.

(a) Objectives--Clear, concise, complete, and logically arranged

statement(s) of specific aims of the proposed effort must be included

in all proposals.

(b) Justification--This section should include in-depth information

on the following, when applicable:

(i) estimates of the magnitude of the food safety problem and its

relevance to ongoing National food and agricultural research programs;

(ii) importance of starting the work during the current fiscal

year, and

(iii) reasons for having the work performed by the proposing

institution.

(c) Literature Review--A summary of pertinent publications with

emphasis of 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.

(d) Progress Report--If the proposal is for a renewal grant for an

existing project supported under this program, include a clearly marked

progress report describing results to date from the previous award. In

addition, the progress report must be limited to three pages (within

the project description 15 page limit) and should include: a comparison

of actual accomplishments with the goals established for the previous

award; the reasons established goals were not met, if applicable; and a

listing of publications resulting from the award. Copies of no more

than two preprints or reprints may be appended to the proposal.

(e) Current Work--Current unpublished institutional activities ``to

date'' in the program area under which the proposal is being submitted

should be described.

(f) Research Methods--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:

(i) a description of the proposed investigations and/or experiments

in the sequence in which it is planned to carry them out;

(ii) techniques to be employed, including their feasibility;

(iii) kinds of results expected;

(iv) means by which data will be analyzed or interpreted;

(v) pitfalls which might be encountered; and

(vi) limitations to proposed procedures.

(g) Cooperation and Institutional Units Involved--Cooperative,

multi-institutional and multi-disciplinary applications are encouraged.

Identify each institutional unit contributing to the project and

designate the lead institution or institutional unit. 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) Equipment and Facilities--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 the 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 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.

(i) 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.

(7) Key Personnel

All senior personnel who are expected to be involved in the effort

must be clearly identified. For each person, the following should be

included:

(a) an estimate of the time commitment involved; and

(b) vitae of the principal investigator(s)/project director(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. A chronological list of all publications in

refereed journals during the past five (5) years, including those in

press, must be provided for each professional project member for whom a

curriculum vitae is provided. Also list only those non-refereed

technical publications that have relevance to the proposed project. All

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) Conflict-of-Interest List (Form CSREES-1233)

A separate Conflict-of-Interest List form (Form CSREES-1233) must

be submitted for each investigator for whom a curriculum vitae is

required (see above). This form is necessary to assist program staff in

excluding from proposal review those individuals who have conflicts-of-

interest with the project personnel in the grant proposal. The Program

Manager must be informed of additional conflicts-of-interest that arise

after the proposal has been submitted.

(9) 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.

All anticipated subcontractual arrangements should be explained and

justified in this section. A proposed statement of work and a budget

for each

[[Page 16584]]

arrangement involving the transfer of substantive programmatic work or

the 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, USDA Uniform

Administrative Requirements for Grants and Agreements with Institutions

of Higher Education, Hospitals, and Other Non-Profit Organizations, and

the general provisions contained in 7 CFR 3015.205, USDA Uniform

Federal Assistance Regulations, flow down to subrecipients. In

addition, required clauses from 7 CFR 3019.40 through 3019.48

(``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.

(10) Certifications

Note that by signing the Form CSREES-661 the applicant is providing

the required certifications set forth in 7 CFR Part 3017, as amended,

regarding Debarment and Suspension and Drug-Free Workplace, and 7 CFR

Part 3018, regarding Lobbying. The certification forms are included in

the 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.

(11) Appendices to the Project Description

Appendices to the Project Description are allowed if they are

directly germane to the proposed research and are limited to a total of

two of the following: reprints (papers that have been published in

peer-reviewed journals) and preprints (manuscripts in press for a peer-

reviewed journal). Preprints must be accompanied by the letter of

acceptance from the publishing journal.

(12) Budget

Prepare the budget form (Form CSREES-55) in accordance with

instructions provided. A budget form is required for each year of

requested support. In addition, a cumulative budget is required

detailing the requested total support for the overall project period.

(For example, for a two-year project, the proposal would include three

budget forms; one for each of the two years of the project and one

cumulative budget for the full two years.) The budget form may be

reproduced as needed by applicants. Funds may be requested under any of

the categories listed on the form, provided that the item or service

for which support is requested is allowable under the authorizing

legislation, the applicable Federal cost principles and these program

guidelines, and can be justified as necessary for the successful

conduct of the proposed project. Applicants must also include a budget

narrative to explain and justify their budgets. The following

guidelines should be used in developing your proposal budget(s):

(a) 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.

(b) 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.

(c) 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. (However, institutions may

establish lower limits.) As such, items of necessary instrumentation or

other nonexpendable equipment should be listed individually by

description and estimated cost in the budget narrative. 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 subsection

(c)(1)(A) of the Competitive, Special, and Facilities Research Grant

Act, 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.

(d) 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 in the budget

narrative.

(e) Travel. The type and extent of travel and its relationship to

project objectives should be described briefly and justified. For both

domestic and foreign travel, provide the purpose, the destination,

method of travel, number of persons traveling, number of days, and

estimated cost for each trip in the budget narrative. 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.

(f) 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.

(g) 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.

(h) All Other Direct Costs. Anticipated direct project charges not

included in other budget categories must be itemized with estimated

costs and justified in the budget narrative. 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, 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. Form AD-1048 must be completed by any subcontractors or

consultants and retained by the grantee.

(i) Indirect Costs. Section 711 of the Agriculture, Rural

Development, Food and Drug Administration, and Related Agencies

Appropriations Act for FY

[[Page 16585]]

1999, Sec. 101(a) of Pub. L. No. 105-277, limits indirect costs for

this program to 14 percent of total Federal funds provided under each

award. Therefore, the recovery of indirect costs under this program may

not exceed the lesser of the grantee institution's official negotiated

indirect cost rate or the equivalent of 14 percent of total Federal

funds awarded (TFFA). If no rate has been negotiated, a reasonable

dollar amount (equivalent to or less than 14 percent of total Federal

funds requested) in lieu of indirect costs may be requested, subject to

approval by USDA.

(j) 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.

(13) Current and Pending Support

All proposals must list any other current public or private 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 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 the

possible sponsors will not prejudice proposal review or evaluation 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 application material includes Form

CSREES-663, ``Current and Pending Support,'' which should be used for

listing current and pending support. Note that the project being

proposed should be included in the pending section of the form.

(14) Compliance With the National Environmental Policy Act (NEPA).

As outlined in 7 CFR Part 3407 (the Cooperative State Research,

Education, and Extension Service regulations implementing NEPA), the

environmental data for any proposed project is to be provided to CSREES

so that CSREES may determine whether any further action is needed. In

some cases the preparation of environmental data may not be required.

Certain categories of actions are excluded from the requirements of

NEPA.

In order for CSREES to determine whether any further action is

needed with respect to NEPA, pertinent information regarding the

possible environmental impacts of a particular project is necessary;

therefore, Form CSREES-1234, ``NEPA Exclusions Form,'' must be included

in the proposal indicating whether the applicant is of the opinion that

the project falls within a categorical exclusion and the reasons

therefore. If it is the applicant's opinion that the proposed project

falls within the categorical exclusions, the specific exclusion must be

identified. Form CSREES-1234 and supporting documentation should be

placed after Form CSREES-661, ``Application for Funding,'' in the

proposal.

Even though a project may fall within the categorical exclusions,

CSREES may determine that an Environmental Assessment or an

Environmental Impact Statement is necessary for an activity. This will

be the case if substantial controversy on environmental grounds exists

or if other extraordinary conditions or circumstances are present which

may cause such activity to have a significant environmental effect.

(15) 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

expected that some applications submitted in response to these

guidelines will include the following:

(a) Recombinant DNA or RNA Research. As stated in 7 CFR

3015.205(b)(3), all key personnel identified in the proposal and all

endorsing 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 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.

(b) 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 endorsing

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, 2, 3, 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.

(c) 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. 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.

(16) Applicant Peer Review Requirements

Subsection (c)(5) of the Competitive, Special, and Facilities

Research Grant Act (7 U.S.C. Sec. 450i(c)), as amended by section 212

of the Agricultural Research, Extension, and Education Reform Act of

1998 (``1998 Act''), Pub. L. 105-185, requires applicants to conduct a

scientific peer review of a proposed research project in accordance

with regulations promulgated by the Secretary prior to the Secretary

making a grant award under this authority. Regulations implementing

this requirement currently are the subject of a proposed rule making

(64 FR 14347, March 24, 1999). The statute requires promulgation of a

final rule prior to award of a grant under this program. The proposed

rule would impose the following requirements for scientific peer review

by applicants of proposed research projects:

1. Credible and independent. Review arranged by the grantee must

provide for a credible and independent assessment of the proposed

project. A credible

[[Page 16586]]

review is one that provides an appraisal of technical quality and

relevance sufficient for an organizational representative to make an

informed judgment as to whether the proposal is appropriate for

submission for Federal support. To provide for an independent review,

such review may include USDA employees, but should not be conducted

solely by USDA employees.

2. Notice of completion and retention of records. A notice of

completion of the review shall be conveyed in writing to CSREES either

as part of the submitted proposal or prior to the issuance of an award,

at the option of CSREES. The written notice constitutes certification

by the applicant that a review in compliance with these regulations has

occurred. Applicants are not required to submit results of the review

to CSREES; however, proper documentation of the review process and

results should be retained by the applicant.

3. Renewal and supplemental grants. Review by the grantee is not

automatically required for renewal or supplemental grants as defined in

7 CFR 3400.6. A subsequent grant award will require a new review if,

according to CSREES, either the funded project has changed

significantly, other scientific discoveries have affected the project,

or the need for the project has changed. Note that a new review is

necessary when applying for another standard or continuation grant

after expiration of the grant term.

4. Scientific Peer Review. Scientific peer review is an evaluation

of a proposed project for technical quality and relevance to regional

or national goals performed by experts with the scientific knowledge

and technical skills to conduct the proposed research work. Peer

reviewers may be selected from an applicant organization or from

outside the organization, but shall not include principal or co-

principal investigators, collaborators or others involved in the

preparation of the application under review.

Because of the nature of the rule making process, these

requirements are subject to change based upon the comments received.

Applicants whose proposals are recommended for funding must comply with

the review requirements as promulgated in the final rule as a condition

precedent to receiving an award under this RFP.

Part IV--Submission of a Proposal

A. What To Submit

An original and nine copies of the complete proposal must be

submitted. Each copy of the proposal must be stapled in the upper left-

hand corner. DO NOT BIND. In addition, submit 20 copies of the

proposal's Project Summary. All copies of the proposal and Project

Summary must be submitted in one package.

B. Where and When To Submit

Proposals must be received on or before June 4, 1999. Proposals may

be sent by First Class mail, but applicants are strongly encouraged to

send their proposal by certified mail and obtain a receipt to document

the mailing. Proposals sent via the U.S. Postal Service must be sent to

the following address: Special Grants Program--Food Safety Research; c/

o Proposal Services Unit; Office of Extramural Programs; USDA/CSREES;

STOP 2245; 1400 Independence Avenue, SW; Washington, DC 20250-2245;

Telephone: (202) 401-5048.

Note: Applicants are strongly encouraged to submit their

completed proposals via overnight mail or delivery services to

ensure timely receipt by the USDA and to obtain a receipt to

document dispatch of the proposal. Facsimile (FAX) copies will not

be accepted.

Hand-delivered proposals or those delivered by an overnight

express or courier service should be brought to the following

address: Special Grants Program--Food Safety Research; c/o Proposal

Services Unit; Office of Extramural Programs; USDA/CSREES; Room 303;

Aerospace Center; 901 D Street, SW; Washington, DC 20024; Telephone:

(202) 401-5048.

C. Acknowledgment of Proposals

The receipt of all proposals will be acknowledged in writing and

via the Internet (e-mail). Therefore, it is important to include your

e-mail address on Form CSREES-712 when applicable. This acknowledgment

will contain a proposal identification number. Once your proposal has

been assigned a proposal number, please cite that number in future

correspondence.

Part V--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 peer review

panel.

The individual peer panel members will be selected from 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 by CSREES staff 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 panel reviewers, and the

proposed principal investigator(s)/project director(s), to the extent

permitted by law.

B. Evaluation Criteria

In accordance with the provisions of 7 CFR 3400.5, the evaluation

factors below will be used in lieu of those contained in 7 CFR 3400.15

in reviewing applications submitted in response to this request for

proposals:

(1) Scientific merit of the proposal (represents 50% of the

evaluation).

Conceptual adequacy of the hypothesis or approach as

related to the program objectives;

Clarity and delineation of proposed project objectives as

related to National issues and objectives;

Adequacy of the description of the proposed work;

Suitability and feasibility of the methodology for

conducting the work;

Probability of success of the project; and

Novelty, uniqueness, and originality.

(2) Qualifications of the proposed project personnel, partnerships

and adequacy of the facilities (represents 25% of the evaluation).

Training and demonstrated awareness of previous

alternative approaches to relevant objective(s) listed in the Request

for Proposals and performance record and/or potential for future

accomplishments;

Partnerships with other disciplines and institutions;

Time allocated for systematic attainment of objectives;

Institutional experience and competence in the identified

area of work; and

Adequacy of available or obtainable support personnel,

facilities, and instrumentation.

(3) Adoption or transfer of technology strategies (represents 25%

of the evaluation).

Established or documented linkage with industry

partner(s); and

[[Page 16587]]

Clear and effective plan for educational outreach and

technology transfer to end users.

Part VI--Additional Information:

A. Access to Peer Review Information

Copies of summary reviews, not including the identity of the

reviewers, will be sent to all applicant PI/PD's automatically, after

the review process has been completed.

B. Grant Awards

(1) General

Within the limit of funds available for such purpose, the

Administrator shall make grants to those responsible, eligible

applicants whose proposals are judged most meritorious under the

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 practical 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 regulations, the terms and conditions of the award, the

applicable Federal cost principles, and the Department's assistance

regulations (Parts 3015, 3016, and 3019 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 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 sponsoring agency as part of

the preaward process.

(3) Grant Award Document and Notice of Grant Award

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 the

terms of this request for proposals;

(b) Title of project;

(c) Name(s) and address(es) of PI/PD's chosen to direct and control

approved activities;

(d) Identifying grant 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;

(h) Approved budget plan for categorizing allocable 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.

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.

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

additional support at a future date.

C. Use of Funds; Changes

(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) Reporting Requirements

The grantee must prepare an annual report that details all

significant activities towards achieving the goals and objectives of

the project. The narrative should be succinct and be no longer than

five pages, using 12-point font, single-spaced type. A budget summary

should be attached to this report, which will provide an overview of

all monies spent during the reporting period.

(3) Changes in Project Plans

(a) The permissible changes by the grantee, PI/PD, or other key

project personnel in the approved 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 PI/PD's are uncertain as to whether a change complies with

this provision, the question must be referred to the Authorized

Departmental Officer (ADO) for a final determination.

(b) Changes in approved goals or objectives shall be requested by

the grantee and approved in writing by the ADO 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 ADO prior to effecting such transfers,

unless prescribed otherwise in the terms and conditions of the grant.

(e) Changes in Project Period: The project period may be extended

by CSREES without additional financial support, for such additional

period(s), within the statutory limitation, as the ADO 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 ADO, 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 ADO 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 cost principles, Departmental regulations, or in the

grant award.

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 Part 1--USDA implementation of the Freedom of Information

Act.

7 CFR Part 3, as amended--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--USDA Uniform Federal Assistance Regulations,

implementing OMB directives (i.e.,

[[Page 16588]]

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 3016, as amended--Uniform Administrative Requirements

for Grants and Cooperative Agreements to State and Local Governments.

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 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--USDA implementation of OMB Circular A-110, Uniform

Administrative Requirements for Grants and Agreements With Institutions

of Higher Education, Hospitals, and Other Nonprofit Organizations.

7 CFR Part 3052--USDA implementation of OMB Circular No. A-133,

Audits of States, Local Governments, and Non-profit Institutions.

7 CFR Part 3407--CSREES procedures to implement the National

Environmental Policy Act of 1969, as amended.

29 U.S.C. 794 (section 504, 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 the Agency'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 the Agency 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, 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 approved

under OMB Document No. 0524-0022.

Done at Washington, D.C., on this 30th day of March, 1999.

K. Jane Coulter,

Acting Administrator, Cooperative State Research, Education, and

Extension Service.

[FR Doc. 99-8288 Filed 4-2-99; 8:45 am]

BILLING CODE 3410-22-P