[Federal Register Volume 63, Number 117 (Thursday, June 18, 1998)]
[Notices]
[Pages 33472-33479]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-16152]



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Part III





Department of Agriculture





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Cooperative State Research, Education, and Extension Service



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Submission for OMB Review; Comment Request; Notice

  Federal Register / Vol. 63, No. 117 / Thursday, June 18, 1998 / 
Notices  

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DEPARTMENT OF AGRICULTURE

Cooperative State Research, Education, and Extension Service


Special Research Grants Program, Food Safety Research, Fiscal 
Year 1998 Request for Proposals

AGENCY: Cooperative State Research, Education, and Extension Service 
(CSREES).

ACTION: Announcement of availability of grant funds and Request for 
Proposals (RFP) for the Special Research Grants Program, Food Safety 
Research.

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SUMMARY: CSREES announces the availability of grant funds and requests 
proposals for the Special Research Grants Program, Food Safety Research 
for fiscal year (FY) 1998. The amount available for support of this 
program in FY 1998 is approximately $1,869,545.
    This 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.

DATES: Applications must be received on or before August 3, 1998. 
Proposals received after August 3, 1998, will not be considered for 
funding.

ADDRESSES: To obtain a copy of this RFP and application materials for 
the FY 1998 Special Research Grants Program, Food Safety Research, 
contact the Proposal Services Unit, Office of Extramural Programs; 
USDA/CSREES at (202)401-5048. Application materials may also be 
requested via Internet by sending a mesage 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 FY 1998 Special Research Grants Program, Food Safety 
Research.

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]; or Dr. William Wagner, 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) 401-4952; Internet: 
[email protected].

Table of Contents

Part I--General Information:
    A. Legislative Authority
    B. Definitions
    C. Eligibility
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

Part I--General Information

A. Legislative Authority

    The authority for this program is contained in section 2(c)(1)(A) 
of the Act of August 4, 1965, Pub. L. 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 (56 FR 58147, November 15, 1991) 
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.
    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 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 
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).

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 1998. The 
purpose of this grant program is to support problem-solving food safety 
research that addresses National emerging issues in food safety. The 
first year of this program will focus on research needs under the 
President's Initiative to Ensure the Safety of Imported and Domestic 
Fruits and Vegetables. Proposals are encouraged that address:
    (1) developing safe and efficacious techniques to enhance or ensure 
safety

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of fresh and minimally processed imported and domestic fruits and 
vegetables;
    (2) developing means to prevent infection and cross-contamination 
of fresh and minimally processed imported and domestic fruits and 
vegetables by microbial pathogens during harvesting, handling, 
transportation, and distribution;
    (3) developing procedures for sampling fresh and minimally 
processed imported and domestic fruits and vegetables to accurately 
detect the presence of microbial pathogens.
    Encouragement is also given for proposals which address minor fruit 
and vegetable crops. Proposals should describe how the research will be 
transferred for implementation. Thus, partnerships are encouraged with 
potential users of the new practices or technologies.

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 ensuring the 
safety of imported and domestic fruits and vegetables. Matching funds 
are encouraged but not required. The total amount of funds available in 
FY 1998 for support of this program is approximately $1,869,545. Each 
proposal submitted in FY 1998 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 1998 awardees would need to recompete in future years 
for additional funding.
    Congress, in Section 716 of the Agriculture, Rural Development, 
Food and Drug Administration, and Related Agencies Appropriations Act 
for FY 1998, Pub. L. 105-86, encourages entities receiving Federal 
financial assistance to use grant funds to purchase only American-made 
equipment or products in the case of any equipment or product 
authorized to be purchased with funds provided under this program.

Part III--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 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) Type of Award Request (Block 13). Check the box adjacent to 
``New.'' Leave the section adjacent to ``Prior USDA Award No.'' blank.
    (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

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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.
(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) Project Narrative
    PLEASE NOTE: The Project Narrative shall not exceed 15 pages. This 
maximum has been established to ensure fair and equitable competition. 
Reviewers are instructed that they need to read only the first 15 pages 
of the Project Narrative and to ignore information on additional pages.
    (a) Objectives--Clear, concise, complete, and logically arranged 
statement(s) of specific aims of the proposed effort must be included 
in all proposals.
    (b) Procedures--The procedures or methodology to be applied to the 
proposed effort should be explicitly stated. This section should 
include but not necessarily be limited to:
    (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.
    (c) 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.
    (d) Cooperation and Institutional Units Involved--Cooperative and 
multi-State (regional) applications are encouraged. Identify each 
institutional unit contributing to the project. Identify each State in 
a multiple-State proposal and designate the lead State. When 
appropriate, the project should be coordinated with the efforts of 
other State and/or national programs. Clearly define the roles and 
responsibilities of each institutional unit of the project team, if 
applicable.
    (e) 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.
    (f) Current Work--Current unpublished institutional activities to 
date in the program area under which the proposal is being submitted 
should be described.
    (g) 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 also should be itemized. In addition, items of 
nonexpendable equipment needed to conduct and bring the project to a 
successful conclusion should be listed, including dollar amounts and, 
if funds are requested for their acquisition, justified.
    (h) 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.
(6) 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;
    (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; and
    (c) a chronological listing of the most representative publications 
during the past five (5) years. This listing must be provided for each 
professional project member for whom a vita appears. Authors should be 
listed in the same order as they appear on each paper cited, along with 
the title and complete reference as these usually appear in journals.
(7) 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 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

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Higher Education, Hospitals, and Other Non-Profit Organizations, and 
the general provisions contained in 7 CFR Part 3015.205, USDA Uniform 
Federal Assistance Regulations, flow down to subrecipients. In 
addition, required clauses from 7 CFR Part 3019 Sections 40-48 
(``Procurement Standards'') and Appendix A (``Contract Provisions'') 
should be included in final contractual documents, and it is necessary 
for the subawardee to make a certification relating to debarment/
suspension.
(8) 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.
(9) Additions to the Project Narrative
    Each project narrative or description is expected to be complete in 
itself. However, in those instances in which the inclusion of 
additional information is deemed necessary, appendices may be either 
attached or submitted as part of the proposal. Material in the 
appendices must be identified, and if not attached to each proposal 
must be identified with the title of the project and the name(s) of the 
PI/PD's as they appear on the Form CSREES-661. Examples of material 
suitable as appendices include photographs that do not reproduce well, 
reprints, and other pertinent materials which are deemed to be 
unsuitable for inclusion in the body of the proposal.
(10) 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. 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. Congress, in the Agriculture, Rural 
Development, Food and Drug Administration, and Related Agencies 
Appropriations Act, 1998, Pub. L. 105-86, encourages entities to use 
Federal grant funds to purchase only American-made equipment or 
products.
    Note: For projects awarded under the authority of Sec. 2(c)(1)(A) 
of Pub. L. 89-106, no funds will be awarded for the renovation or 
refurbishment of research spaces; the purchase or installation of fixed 
equipment in such spaces; or for the planning, repair, rehabilitation, 
acquisition, or construction of a building or facility.
    (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.
    (i) Indirect Costs. Section 712 of Pub. L. 105-86 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

[[Page 33476]]

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.
(11) 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 is suitable for 
listing current and pending support. Note that the project being 
proposed should be included in the pending section of the form.
(12) 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, however, 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 
therefor. 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. 
However, this rarely occurs.
(13) 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, as amended, 3, as amended, 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. No. 93-348, as amended, and implementing 
regulations established by the Department under 7 CFR Part 1c. If you 
propose to use human subjects for experimental purposes in your 
project, you should check the ``yes'' box in Block 21 of Form CSREES-
661 and complete Section C of Form CSREES-662. In the event a project 
involving human subjects results in a grant award, funds will be 
released only after the appropriate Institutional Review Board has 
approved the project.

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 by August 3, 1998. 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

[[Page 33477]]

timely receipt by the USDA and to obtain a receipt to document 
dispatch of the proposal.

    Hand-delivered proposals or those delivered by an overnight express 
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 
this acknowledgment will contain an identifying proposal number. Once 
your proposal has been assigned an identification 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 among those 
persons recognized as specialists who are uniquely qualified by 
training and experience in their respective fields to render expert 
advice on the merit of the proposals being reviewed. The individual 
views of the panel members will be used 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 on National issues for food safety in fruits and vegetables:
    (1) Scientific merit of the proposal (represents 50% of the 
evaluation).
     Conceptual adequacy of the hypothesis or approach as 
related to the program objectives in reducing microbial contamination 
of fresh fruits and vegetables;
     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 
implementation in reducing microbial contamination of fresh fruits and 
vegetables;
     Probability of success of the project; and
     Novelty, uniqueness, and originality.
    (2) Qualifications of the proposed project personnel 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;
     Time allocated for systematic attainment of objectives;
     Institutional experience and competence in food safety of 
fruits and vegetables; 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
     Clear and effective plan for educational outreach and 
technology transfer to end users in fruit and vegetable industry.

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

[[Page 33478]]

    (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, 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) 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--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., 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. 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 (62 FR 45947)--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 (48 FR 29115, June 24, 1983), this program is 
excluded from the scope of the Executive Order 12372 which requires 
intergovernmental consultation with State and local officials. Under 
the

[[Page 33479]]

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. 0524-0022.4

    Done at Washington, D.C., this 11 day of 1998.
Colien Hefferan,
Acting Administrator, Cooperative State Research, Education, and 
Extension Service.
[FR Doc. 98-16152 Filed 6-17-98; 8:45 am]
BILLING CODE 3410-22-P