[Federal Register Volume 64, Number 64 (Monday, April 5, 1999)]
[Notices]
[Pages 16580-16588]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-8288]



[[Page 16579]]

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Part VI





Department of Agriculture





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Cooperative State Research, Education, and Extension Service



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

  Federal Register / Vol. 64, No. 64 / Monday, April 5, 1999 / 
Notices  

[[Page 16580]]



DEPARTMENT OF AGRICULTURE

Cooperative State Research, Education, and Extension Service


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

AGENCY: Cooperative State Research, Education, and Extension Service.

ACTION: Notice of Request for Proposals and Request for Input.

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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

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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