[Federal Register Volume 66, Number 49 (Tuesday, March 13, 2001)]
[Notices]
[Pages 14804-14815]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-6201]



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Part VI





Department of Agriculture





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Cooperative State Research, Education, and Extension Service



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Integrated Research, Education, and Extension Competitive Grants 
Program--National Integrated Food Safety Initiative: Request for 
Proposals and Request for Input; Notice

  Federal Register / Vol. 66, No. 49 / Tuesday, March 13, 2001 / 
Notices  

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DEPARTMENT OF AGRICULTURE

Cooperative State Research, Education, and Extension Service


Integrated Research, Education, and Extension Competitive Grants 
Program--National Integrated Food Safety Initiative: Request for 
Proposals and Request for Input

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

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 Integrated Research, Education, and Extension 
Competitive Grants Program--National Integrated Food Safety Initiative 
for fiscal year (FY) 2001 to support integrated, multifunctional 
agricultural research, extension, and education activities that address 
food safety priorities in the United States. The amount available for 
support of this program in FY 2001 is approximately $14,247,128 of 
which a portion will be used to fund the second year of a continuation 
grant for the Center for Home Food Processing and Preservation that was 
awarded in FY 2000 for four years (FY 2000-FY 2003). As a result, 
approximately $13,647,482 will be made available to fund new grant 
proposals in FY 2001.
    This notice sets out the objectives for National Integrated Food 
Safety Initiative projects, the eligibility criteria for projects and 
applicants, the application procedures, and the set of instructions 
needed to apply for a Food Safety grant under this authority.
    By this notice, CSREES additionally solicits stakeholder input from 
any interested party regarding the FY 2001 Integrated Research, 
Education, and Extension Competitive Grants Program--National 
Integrated Food Safety Initiative for use in the development of any 
future requests for proposals (RFP's) for this program.

DATES: Proposals must be received by close of business (COB) on May 14, 
2001 (5:00 p.m. EST). Proposals received after this date will not be 
considered for funding. Comments regarding this RFP are requested 
within six months from the issuance of this notice. Comments received 
after that date will be considered to the extent practicable.

ADDRESSES: The address for hand-delivered proposals or proposals 
submitted using an express mail or overnight courier service is: 
Integrated Research, Education, and Extension Competitive Grants 
Program--National Integrated Food Safety Initiative; c/o Proposal 
Services Unit; Cooperative State Research, Education, and Extension 
Service; U.S. Department of Agriculture; Room 1307, Waterfront Centre; 
800 9th Street, SW.; Washington, DC 20024.
    Proposals sent via the U.S. Postal Service must be sent to the 
following address: Integrated Research, Education, and Extension 
Competitive Grants Program--National Integrated Food Safety Initiative; 
c/o Proposal Services Unit; Cooperative State Research, Education, and 
Extension Service; U.S. Department of Agriculture; STOP 2245; 1400 
Independence Avenue, SW.; Washington, DC 20250-2245.
    Written user comments should be submitted by mail to: Policy and 
Program Liaison Staff; Office of Extramural Programs; USDA-CSREES; STOP 
2299; 1400 Independence Avenue, SW.; Washington, DC 20250-2299; or via 
e-mail to: [email protected]. In your comments, please include the 
name of the program and the fiscal year of the RFP to which you are 
responding.

FOR FURTHER INFORMATION: Applicants and other interested parties are 
encouraged to contact Dr. Jan Singleton; National Program Leader, Food 
Science and Food Safety; Plant and Animal Systems Unit; Cooperative 
State Research, Education, and Extension Service; U.S. Department of 
Agriculture; STOP 2220; 1400 Independence Avenue, SW.; Washington, DC 
20024-2220; telephone: (202) 401-1954; fax: (202) 401-9862; email: 
[email protected].

SUPPLEMENTARY INFORMATION:

Table of Contents

Stakeholder Input
Catalog of Federal Domestic Assistance
Part I--General Information
    A. Legislative Authority and Background
    B. Purpose, Priorities, and Fund Availability
    C. Definitions
    D. Eligibility
    E. Types of Proposals
    F. Matching Requirements
    G. Funding Restrictions
Part II--Program Description
    A. Project Types
    B. Program Area Description
Part III--Preparation of a Proposal
    A. Program Application Materials
    B. Content of Proposals
    C. Submission of Proposals
    D. Acknowledgment of Proposals
Part IV--Review Process
    A. General
    B. Evaluation Criteria
    C. Conflicts-of-Interest and Confidentiality
Part V--Grant Awards
    A. General
    B. Funding Mechanisms
    C. Organizational Management Information
    D. Grant Award Document and Notice of Grant Award
Part VI--Additional Information
    A. Access to Review Information
    B. Use of Funds; Changes
    C. Expected Program Outputs and Reporting Requirements
    D. Applicable Federal Statutes and Regulations
    E. Confidential Aspects of Proposals and Awards
    F. Regulatory Information

Stakeholder Input

    CSREES is soliciting comments regarding this RFP from any 
interested party. These comments will be considered in the development 
of any future RFP for the program. Such comments will be used to meet 
the requirements of section 103(c)(2) of the Agricultural Research, 
Extension, and Education Reform Act of 1998 (7 U.S.C. 7613(c)(2)). This 
section requires the Secretary to solicit and consider input on a 
current RFP from persons who conduct or use agricultural research, 
education and extension for use in formulating future RFP's for 
competitive programs. Comments should be submitted as provided for in 
the ADDRESSES and DATES portions of this Notice.
    No comments were received on the FY 2000 RFP for the Integrated 
Research, Education, and Extension Competitive Grants Program--National 
Food Safety Initiative that was published in the Federal Register on 
April 7, 2000 [65 FR 18838-18849].

Catalog of Federal Domestic Assistance

    This program is listed in the Catalog of Federal Domestic 
Assistance under 10.303, Integrated Research, Education, and Extension 
Competitive Grants Program.

Part I--General Information

A. Legislative Authority and Background

    Section 406 of the Agricultural Research, Extension, and Education 
Reform Act of 1998 (AREERA) (7 U.S.C. 7626) authorized the Secretary of 
Agriculture to establish a research, education, and extension 
competitive grants program to provide funding for integrated, 
multifunctional agricultural research, extension, and education 
activities. Subject to the availability of appropriations to carry out 
this program, the Secretary may award grants to colleges and 
universities (as defined by 1404 of the National Agricultural Research, 
Extension, and Teaching Policy Act of 1977

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(NARETPA) (7 U.S.C. 3103)) on a competitive basis for integrated 
research, education, and extension projects. Grants are to be awarded 
to address priorities in United States agriculture that involve 
integrated research, education, and extension activities as determined 
by the Secretary in consultation with the National Agricultural 
Research, Extension, Education, and Economics Advisory Board.
    On November 19, 1999, the Secretary published in the Federal 
Register (64 FR 63560) a notice that the administration of this grant 
program had been delegated to the Cooperative State Research, 
Education, and Extension Service (CSREES). This notice also solicited 
public comment from persons who use or conduct research, extension, or 
education regarding the priorities to be addressed by this new program. 
In addition, this notice announced a public meeting to obtain comments 
to use in developing the proposed rule and RFP's for this new grant 
program. The public meeting was held on December 6, 1999.
    All the comments and the official transcript of the meeting were 
made available for review on the CSREES web page. The comments and 
testimonies from the December 6, 1999, public meeting were considered 
in the formulation of the FY 2000 RFP and the FY 2001 RFP. Both RFP's 
were developed in consultation with the Advisory Board.
    A food safety listening session was held on November 15, 2000, to 
obtain public comments for use in developing the FY 2001 RFP for the 
National Integrated Food Safety Initiative. In addition, a public 
meeting was held on November 30, 2000, and December 1, 2000, to obtain 
comments and testimonies for all Federal food safety programs, 
including the National Integrated Food Safety Initiative. The Secretary 
published the announcement of the public meeting in the Federal 
Register (65 FR 69907) on November 21, 2000.
    The entire Integrated Research, Education, and Extension 
Competitive Grants Program is funded in FY 2001 at $39,838,535 (after 
deduction for administrative expenses) for the following integrated 
activities: Water Quality ($12,348,773), Food Safety ($14,247,128), and 
the Pest Management component which includes Pesticide Impact 
Assessment ($4,313,522), Crops at Risk from Food Quality and Protection 
Act (FQPA) Implementation ($1,424,858), FQPA Risk Mitigation Program 
for Major Food Crop Systems ($4,654,537), Methyl Bromide Transition 
Program ($2,374,764), and Organic Transition ($474,953). There will be 
four RFP's for this program. The Food Safety program will have one RFP 
and the Water Quality program will have two RFP's, while the latter 
five programs will be announced as one RFP for Pest Management. This 
notice announces and describes the Food Safety component of the 
Program.
    CSREES will administer the Integrated Research, Education, and 
Extension Competitive Grants Program by determining priorities in 
United States agriculture through Agency stakeholder input processes 
and in consultation with the National Agricultural Research, Extension, 
Education, and Economics Advisory Board. Each RFP for the different 
program areas (i.e., Food Safety, Water Quality, etc.) will be 
developed each fiscal year based on these established priorities and 
the resulting approaches to solving these critical agricultural issues. 
Although this overall grant program seeks to solve critical 
agricultural issues through an integration of research, education, and 
extension activities, a component of a RFP, depending on the priority 
being addressed and/or the stage at which the priority is being 
addressed, may request proposals that are research, education, or 
extension only, or a combination thereof. However, the overall 
overarching approach to solving the critical agricultural issue, 
priority, or problem will be through an integration of research, 
education, and extension activities within each individual program 
area.

B. Purpose, Priorities, and Fund Availability

    The purpose of the National Integrated Food Safety Initiative is to 
support projects that address selected priority issues in food safety 
and demonstrate an integrated approach to solving problems in applied 
food safety research, education, and extension as described in this 
RFP. Various models for integration of applied research, education, and 
extension will be considered for funding. Proposals describing 
multistate, multi-institutional, multidisciplinary, and multifunctional 
activities (and combinations thereof) are encouraged. However, special 
emphasis will be given to proposals describing multifunctional 
activities that integrate research, education, and extension projects 
(i.e., those that contain research, education, and extension 
components).
    This integrated grants program creates opportunities for new 
collaborations between individuals and institutions which can address 
problems in new ways and/or improve communication with under-served or 
hard-to-reach audiences. In order to fully realize these potential 
benefits, CSREES strongly encourages applicants to develop proposals 
that include:
    (1) Integrated activities that include collaboration with small- or 
mid-sized, accredited colleges and universities; or
    (2) Integrated activities that include collaboration with 
historically black colleges and universities, Hispanic-serving 
institutions, tribal colleges, and/or other institutions that serve 
high-risk, under-served, or hard-to-reach audiences.
    This program supports integrated research, education, and 
extension. The research component will focus on applied food safety 
research. Basic research will be considered for funding only under 
special circumstances for which adequate justification has been 
provided in the proposal. In addition to traditional laboratory and 
field research, applied research may include educational research, 
behavioral or social research, and/or research focused on defining the 
behavioral determinants of food safety practices.
    The education component of the National Integrated Food Safety 
Initiative will address food safety education and training implemented 
in a formal classroom setting. This may include elementary, secondary, 
undergraduate, or graduate education. The extension component will 
address food safety education and training implemented in a non-formal 
setting. Where there is no extension program, outreach activities that 
deliver science-based knowledge and informational education to people 
in a variety of non-formal settings are acceptable. In addition to 
education and training, extension or outreach components may include 
the development and distribution of educational materials such as 
pamphlets, fliers, fact sheets, training curricula, videotapes, 
audiotapes, CD ROMS, interactive software, and a variety of other 
audiovisual and print media. An evaluation of the effectiveness of the 
education, extension or outreach materials, media, programs and/or 
interventions is required where these components are addressed.
    The priority issues in food safety described below were identified 
by stakeholders during a series of public meetings held to solicit 
program input from various users of food safety information at the 
local, state, regional, and national levels. Interdepartmental food 
safety priorities and those supported by the Presidential Food

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Safety Initiative were also considered in the development of this RFP.
    There is no commitment by USDA to fund any particular proposal or 
to make a specific number of awards. Approximately $13,647,482 will be 
available to fund proposals in FY 2001. Proposals are being solicited 
in 10 component areas: (1) Analysis, Assessment, and Communication of 
Risk; (2) Control Measures for Food-Borne Microbial Pathogens; (3) 
Sources and Incidence of Microbial Pathogens; (4) Antibiotic Resistant 
Microbial Pathogens; (5) Improving the Safety of Fresh Fruits and 
Vegetables; (6) Food Handler Education and Training for Consumers and 
Youth; (7) Food Handler Education for High-risk and Hard-to-reach 
Audiences; (8) Food Handler Education and Training for Commercial and 
Non-Commercial Audiences; (9) Hazard Analysis and Critical Control 
Points (HACCP) Model Development, Testing, Implementation, and 
Evaluation; and (10) National Support and Coordination of Integrated 
Food Safety Programs and Resources.

C. Definitions

    For the purpose of awarding grants under this program, the 
following definitions are applicable:
    (1) Administrator means the Administrator of the Cooperative State 
Research, Education, and Extension Service (CSREES) and any other 
officer or employee of the Department to whom the authority involved is 
delegated.
    (2) 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.
    (3) Authorized organizational representative means the president, 
director, or chief executive officer or other designated official of 
the applicant organization who has the authority to commit the 
resources of the organization.
    (4) Budget period means the interval of time (usually 12 months) 
into which the project period is divided for budgetary and reporting 
purposes.
    (5) Cash contributions means the applicant's cash outlay, including 
the outlay of money contributed to the applicant by non-Federal third 
parties.
    (6) Department or USDA means the United States Department of 
Agriculture.
    (7) Education activity means formal classroom instruction, 
laboratory instruction, and practicum experience in the food and 
agricultural sciences and other related matters such as faculty 
development, student recruitment and services, curriculum development, 
instructional materials and equipment, and innovative teaching 
methodologies.
    (8) Extension activity means an act or process that delivers 
science-based knowledge and informal educational programs to people, 
enabling them to make practical decisions.
    (9) Grant means the award by the Secretary of funds to an eligible 
organization or individual to assist in meeting the costs of 
conducting, for the benefit of the public, an identified project which 
is intended and designed to accomplish the purpose of the program as 
identified in these guidelines.
    (10) Grantee means an organization designated in the grant award 
document as the responsible legal entity to which a grant is awarded.
    (11) Integrated means to bring the three components of the 
agricultural knowledge system (research, education, and extension) 
together around a problem area or activity.
    (12) Matching means that portion of allowable project costs not 
borne by the Federal Government, including the value of in-kind 
contributions.
    (13) Peer review means an evaluation of a proposed project for 
scientific or technical quality and relevance performed by experts with 
the scientific knowledge and technical skills to conduct the proposed 
work or to give expert advice on the merits of a proposal.
    (14) Principal investigator/Project director means the single 
individual designated in the grant application and approved by the 
Secretary who is responsible for the direction and management of the 
project.
    (15) Prior approval means written approval evidencing prior consent 
by an authorized departmental officer as defined in (2) above.
    (16) Project means the particular activity within the scope of the 
program supported by a grant award.
    (17) Project period means the period, as stated in the award 
document, during which Federal sponsorship begins and ends.
    (18) Research activity means a scientific investigation or inquiry 
that results in the generation of knowledge.
    (19) Secretary means the Secretary of Agriculture and any other 
officer or employee of the Department to whom the authority involved is 
delegated.
    (20) Third party in-kind contributions means non-cash contributions 
of property or services provided by non-Federal third parties, 
including real property, equipment, supplies and other expendable 
property, directly benefitting and specifically identifiable to a 
funded project or program.
    (21) Total integrated, multifunctional research, education, and 
extension approach means that the combination of grants (although the 
individual grants may involve only research, education, or extension 
activities or a combination thereof) awarded under the fiscal year's 
program components will work together to address the priorities in 
United States agriculture as determined by the Secretary of Agriculture 
in consultation with the Advisory Board, that involve integrated 
research, extension, and education activities.

D. Eligibility

    Proposals may be submitted by colleges and universities as defined 
in section 1404 of the National Agricultural Research, Extension, and 
Teaching Policy Act of 1977 (NARETPA). The terms ``college'' and 
``university'' mean an educational institution in any State which (1) 
admits as regular students only persons having a certificate of 
graduation from a school providing secondary education, or the 
recognized equivalent of such a certificate, (2) is legally authorized 
within such State to provide a program of education beyond secondary 
education, (3) provides an educational program for which a bachelor's 
degree or any other higher degree is awarded, (4) is a public or other 
nonprofit institution, and (5) is accredited by a nationally recognized 
accrediting agency or association. 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). Eligible applicants may subcontract to 
organizations not eligible under these requirements.
    Please note that a research foundation maintained by a college or 
university is not eligible to receive an award under this program. 
Proposals received from research foundations will not be considered for 
funding.

E. Types of Proposals

    In FY 2001, projects under the Integrated Research, Education, and 
Extension Competitive Grants Program authority may be submitted as one 
of the two types of proposals described below:
    (1) New proposal. This is a project proposal that has not been 
previously submitted to the Integrated Research, Education, and 
Extension Competitive

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Grants Program. All new proposals will be reviewed competitively using 
the selection process and evaluation criteria described in Part IV--
Review Process.
    (2) Resubmitted proposal. This is a proposal that had previously 
been submitted to the Integrated Research, Education, and Extension 
Competitive Grants Program but not funded. The resubmitted proposal 
should clearly indicate the changes that have been made in the project 
proposal. Further, a clear statement acknowledging comments from the 
previous reviewers, indicating revisions, rebuttals, etc., can 
positively influence the review of the proposal. Therefore, for 
resubmitted proposals, the investigator(s) must respond to the previous 
panel summary on no more than one page, titled ``RESPONSE TO PREVIOUS 
REVIEW,'' which is to be placed directly after the Project Summary as 
described in Part III--Preparation of a Proposal. Resubmitted proposals 
will be reviewed competitively using the selection process and 
evaluation criteria described in Part IV--Review Process.

F. Matching Requirements

1. General Requirement
    If a grant provides a particular benefit to a specific agricultural 
commodity, the grant recipient is required to provide funds or in-kind 
support to match the amount of the grant funds provided. See section 
12. c. on ``Matching Funds'' under Part III, B, ``Content of 
Proposals'' for more details.
2. Waiver
    CSREES may waive the matching funds requirement specified in the 
above paragraph for a grant if CSREES determines that (a) the results 
of the project, while of particular benefit to a specific agricultural 
commodity, are likely to be applicable to agricultural commodities 
generally; or (b) the project involves a minor commodity, the project 
deals with scientifically important research, and the grant recipient 
is unable to satisfy the matching funds requirement.

G. Funding Restrictions

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

Part II--Program Description

A. Project Types

    For Program Areas 1 through 10 (see Section B. of this part), the 
maximum total award is $600,000, and for a project period up to three 
years. Smaller awards for 1- to 2-year project periods also will be 
considered for funding.
    Proposals that focus on one functional area (i.e., research only, 
education only, or extension only) are acceptable. However, priority 
consideration will be given to multifunctional proposals. For proposals 
that focus on one functional area, applicants should explain how the 
separate functional area will meet the overall goal of a total 
integrated, multifunctional research, education, and extension 
approach.
    Applications received in any of the aforementioned program areas 
must include budgets commensurate with the activities proposed. Grants 
awarded under Program Areas 1 through 10 of this RFP will be issued as 
``New Grant'' instruments and will be awarded as ``Standard Grants.''

B. Program Area Description

    Integrated research, education, and extension proposals that 
address the following selected priority issues are requested:
    For Program Areas 1 through 10: (Maximum award: $600,000 and up to 
three years. Smaller awards for 1- to 2-year projects are acceptable).
(1) Analysis, Assessment, and Communication of Risk (Program Area 
111.M)
    This category will support activities related to: (a) The 
development and validation of comprehensive, qualitative and/or 
quantitative, science-based models for risk assessments for microbial 
food-borne pathogens such as Listeria monocytogenes, Campylobacter 
jejuni, Cyclospora, and Salmonella, among others; (b) the development, 
implementation, and evaluation of model-based extension or outreach 
activities that teach users to avoid risk; and (c) the development and 
integration of model-based educational programs, modules, etc. into 
elementary, secondary, undergraduate, or graduate curricula.
(2) Control Measures for Food-borne Microbial Pathogens (Program Area 
111.B)
    This category will support the establishment of the scientific 
bases for, and the development of, models for identifying and 
validating critical control points, critical limits, and process 
capability related to control measures for significant food-borne 
microbial pathogens and/or their toxins in production, processing and 
distribution of foods. The development, implementation, and evaluation 
of model-based education, extension or outreach components focused on 
implementing control measures for microbial pathogens should be 
addressed.
(3) Sources and Incidence of Microbial Pathogens (Program Area 111.C)
    This category will support identification of the sources and 
incidence of microbial pathogens of animal and human origin, their 
adaptation to new environments impacting food safety, and the 
development and implementation of strategies for their prevention and 
control. The development, implementation, and evaluation of education, 
extension or outreach components focused on the sources and incidence 
of microbial pathogens should be addressed.
(4) Antibiotic Resistant Microbial Pathogens (Program Area 111.D)
    This category will support: (a) The identification of factors that 
lead to the development of antibiotic resistant microbial pathogens 
related to food safety; (b) the identification and application of 
measures to prevent antibiotic resistance; and (c) the development and 
application of alternative approaches to the use of antibiotics. The 
development, implementation, and evaluation of education, extension or 
outreach components focused on antibiotic resistance should be 
addressed.
(5) Improving the Safety of Fresh Fruits and Vegetables (Program Area 
111.E)
    This category will support the development of projects that focus 
on improving the safety of fresh and minimally processed imported and 
domestic fruits and vegetables, which includes: (a) The development of 
safe and efficacious techniques to enhance or ensure microbiological 
safety; (b) approaches that relate to post-production, harvesting, 
handling, transportation, and distribution control measures to the 
prevention of microbial pathogen infection or cross-contamination; or 
(c) development of procedures for sampling to accurately detect the 
presence of microbial pathogens and/or their toxins. Proposals 
involving international collaboration are encouraged. The development, 
implementation, and evaluation of education, extension or outreach 
components focused on improving the

[[Page 14808]]

safety of fresh fruits and vegetables should be addressed.
(6) Food Handler Education and Training for Consumers and Youth 
(Program Area 111.F)
    This category will support the development of education and 
training programs that promote and enhance general food safety and food 
handler education for youths, adults, and older Americans preparing 
food in the home. Special emphasis will be given to education efforts 
that support activities of the Presidential Food Safety Initiative and 
the Fight BAC campaign of the government and industry-wide Partnership 
for Food Safety Education. Information about the Presidential 
Initiative, Fight BAC, and the Partnership for Food Safety Education 
can be found at the following website: http://www.foodsafety.gov. Where 
necessary, applied research to support the development, implementation, 
and evaluation of the educational intervention should be conducted. 
Previous research may be referenced.
(7) Food Handler Education and Training for High-risk and Hard-to-reach 
Audiences (Program Area 111.G)
    This category will support the development of consumer education 
and training programs for high-risk or under-served groups (i.e., 
pregnant or nursing mothers, infants, children, the chronically ill, 
those with limited resources, those with low literacy skills, or those 
who speak English as a second language). Projects that target families 
receiving Federal food assistance are encouraged. Where necessary, 
applied research to support the development, implementation, and 
evaluation of the educational intervention should be conducted. 
Previous research may be referenced.
(8) Food Handler Education and Training for Commercial and Non-
commercial Audiences, Including Food Handler Certification Training and 
Other Train-the-trainer Programs (Program Area 111.H)
    This category will support the development, implementation, and 
evaluation of train-the-trainer programs for food handlers in 
commercial and non-commercial settings (e.g., institutional food 
service, retail establishments, hospitals, health care facilities, day 
care facilities, congregate meal sites, gleaning and food recovery 
programs, food banks, soup kitchens, churches, and service clubs). 
Special emphasis will be given to the development and implementation of 
food handler certification programs.
    Where necessary, applied research to support the development, 
implementation, and evaluation of the educational intervention should 
be conducted. Previous research may be referenced.
(9) Hazard Analysis and Critical Control Points (HACCP) Model 
Development, Testing, and Implementation (Program Area 111.I)
    This category will support the development of projects that focus 
on the development of HACCP models for education and training in four 
targeted areas: (a) Minimizing microbial food safety hazards for fresh 
fruits and vegetables through the development of training and education 
programs for domestic and international growers and producers; (b) 
Targeted HACCP plan development and implementation in small and very 
small meat and poultry plants, seafood and other small food processing 
plants; (c) HACCP plan development and implementation in retail 
establishments, including distribution and transportation sectors of 
the food industry; and (d) HACCP train-the-trainer programs using 
currently available models, curricula, and materials. HACCP model 
development must include pilot-testing, model implementation and 
evaluation. Regional, multi-state, or national workshops focused on 
training potential users of the HACCP models will be supported and are 
encouraged. Where necessary, applied research to support the 
development, implementation, and evaluation of the HACCP intervention 
should be conducted. Previous research may be referenced.
(10) National Support and Coordination of Integrated Food Safety 
Programs and Resources (Program Area 111.K)
    This category will support the development of integrated food 
safety resources and outreach programs that facilitate national and 
international networking and coordination among the various users of 
food safety information, from production to consumption (e.g., farmers, 
producers, growers, packers, shippers, retailers, food service workers, 
processors, inspectors, veterinarians, sanitarians, educators, 
researchers, and consumers). Integrated food safety resources may 
include the development of databases and interactive software that 
support decision-making and problem-solving among food safety 
researchers, educators, consumers, and others. Outreach-related 
proposals may include support of national or regional conferences, 
multi-user distance education programs, satellite videoteleconferences, 
and other communication transfer technologies.

Part III--Preparation of a Proposal

A. Program Application Materials

    Program application materials are available at the Integrated 
Research, Education, and Extension Competitive Grants Program website 
(http://www.reeusda.gov/integrated/). If you do not have access to our 
web page or have trouble downloading material, you may contact the 
Proposal Services Unit, Office of Extramural Programs, USDA/CSREES at 
(202) 401-5048. When calling the Proposal Services Unit, please 
indicate that you are requesting forms for the FY 2001 Integrated 
Research, Education, and Extension Competitive Grants Program--National 
Integrated Food Safety Initiative. These materials may also be 
requested via Internet by sending a message with your name, mailing 
address (not e-mail) and phone number to [email protected]. State that 
you want a copy of the Program Description and application materials 
(orange book) for the Fiscal Year 2001 Integrated Research, Education, 
and Extension Competitive Grants Program--National Integrated Food 
Safety Initiative.

B. Content of Proposals

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 or double spaced. Use an easily readable font face (e.g., 
Geneva, Helvetica, Times Roman).
    (b) Each page of the proposal, including the Project Summary, 
budget pages, required forms, and any appendices, should be numbered 
sequentially.
    (c) The proposal should be stapled in the upper left-hand corner. 
Do not bind. An original and 14 copies (15 total) must be submitted in 
one package, along with 10 copies of the ``Project Summary'' as a 
separate attachment.
    (d) If applicable, proposals should include original illustrations 
(photographs, color prints, etc.) in all copies of the proposal to 
prevent loss of meaning through poor quality reproduction.

[[Page 14809]]

2. Cover Page (Form CSREES-661)
    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,'' ``research on,'' ``education for,'' or 
``outreach that'' should not be used.
    (b) Program to Which You Are Applying (Block 7). ``Integrated 
Research, Education, and Extension Competitive Grants Program--National 
Integrated Food Safety Initiative.''
    (c) Program Area and Number (Block 8). The name of the program 
component (e.g., Analysis, Assessment, and Communication of Risk, 111.M 
or Control Measures for Food-borne Microbial Pathogens, 111.B) should 
be inserted in this block.
    (d) Type of Award Request (Block 13). Check the block for ``new'' 
or ``resubmission.''
    (e) Principal Investigator(s)/Project Director(s) (PI/PD) (Block 
15). The designation of excessive numbers of co-PI/PD's creates 
problems during final review and award processing. 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 Director 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. Complete the ``Application for Funding,'' Form CSREES-661, in 
its entirety.
    (h) One copy of the ``Application for Funding'' form must contain 
the original signatures of the PI/PD(s) and authorized organizational 
representative for the applicant organization.
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 contain page numbers for each component of 
the proposal. Page numbers should begin with the first page of the 
Project Description.
4. Project Summary
    The proposal must contain a Project Summary of 250 words or less on 
a separate page which should be placed immediately after the Table of 
Contents and should not be numbered. The names and affiliated 
organizations of all PI/PD's and co-PI/PD's should be listed on this 
form, in addition to the title of the project. The summary should be a 
self-contained, specific description of the activity to be undertaken 
and should focus on: overall project goal(s) and supporting objectives; 
plans to accomplish project goal(s); and relevance of the project to 
the goals of the National Food Safety Initiative. The importance of a 
concise, informative Project Summary cannot be overemphasized.
5. Response to Previous Review
    This requirement only applies to ``Resubmitted Proposals'' as 
described under Part I, E, ``Types of Proposals.'' For these proposals, 
the investigator(s) must respond to the previous panel summary on no 
more than one page, titled ``RESPONSE TO PREVIOUS REVIEW,'' which is to 
be placed directly after the Project Summary. If desired, additional 
comments and responses to the previous panel summary may be included in 
the text of the Project Description, subject to the page limitation.
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. The Project Description must include all 
of the following:

    a. Introduction: A clear statement of the long-term goal(s) and 
supporting objectives of the proposed activities should be included. 
Summarize the body of knowledge or other past activities which 
substantiate the need for the proposed project. Describe ongoing or 
recently completed significant activities related to the proposed 
project including the work of key project personnel. Preliminary data/
information pertinent to the proposed project should be included. In 
addition, this section should include in-depth information on the 
following:
    (1) A statement must be given at the beginning of the justification 
that clearly identifies the area(s) in Part II, B, that is (are) 
addressed in the proposal;
    (2) Estimates of the magnitude of the food safety issues to be 
addressed and their relevance to stakeholder's needs, as well as 
ongoing State and national research, education, and extension programs; 
and
    (3) Reasons for having the work performed by the proposing 
institution.
    b. Objectives: Clear, concise, complete, and logically arranged 
statement(s) of specific aims of the proposed effort must be included 
in all proposals.
    c. Methods: The procedures or methods to be applied to the proposed 
effort should be explicitly stated. This section should include, but 
not necessarily be limited to:
    (1) A description of the proposed activities and the sequence in 
which they will be carried out;
    (2) Procedures, techniques, methods, or approaches to be employed, 
including their feasibility;
    (3) Means by which data will be analyzed or interpreted;

[[Page 14810]]

    (4) Evaluation methods or means by which education and extension or 
outreach activities will be evaluated;
    (5) Kinds of results or expected outcomes;
    (6) Details of plans to communicate results to stakeholders or to 
the public;
    (7) Problems that might be encountered; and
    (8) Limitations to proposed procedures, techniques, methodologies, 
or approaches.
    d. Cooperation and Institutional Units Involved: Cooperative, 
multi-institutional and multidisciplinary 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.
    e. 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 pathogenic organisms, 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 non-
expendable equipment needed to conduct and bring the project to a 
successful conclusion should be listed, including dollar amounts. 
Justification must be provided if funds are requested for their 
acquisition.
    f. 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. References
    All references cited should be complete, including titles and all 
co-authors, and should conform to an acceptable journal format.
8. Appendices to Project Description
    Appendices to the Project Description are allowed if they are 
directly germane to the proposed project 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; these must be accompanied by a letter of acceptance 
from the publishing journal).
9. Key Personnel
    The following should be included, as applicable:
    (a) The roles and responsibilities of each PI/PD and/or 
collaborator should be clearly described;
    (b) An estimate of the time commitment involved for each PI/PD and/
or collaborator, including current and pending projects; and
    (c) Vitae of each PI/PD, senior associate, 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 four (4) years, 
including those in press, must be provided for each project member for 
which 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.
10. Conflict-of-Interest List
    A Conflict-of-Interest List must be provided for all individuals 
involved in the project (i.e., each individual submitting a vitae in 
response to item 9.(c) of this part). Each list should be on a separate 
page and include alphabetically the full names of the individuals in 
the following categories: (a) All collaborators on projects within the 
past four years, including current and planned collaborations; (b) all 
co-authors on publications within the past four years, including 
pending publications and submissions; (c) all persons in your field 
with whom you have had a consulting or financial arrangement within the 
past four years, who stand to gain by seeing the project funded; and 
(d) all thesis or postdoctoral advisees/advisors within the past four 
years (some may wish to call these life-time conflicts). This form is 
necessary to assist program staff in excluding from proposal review 
those individuals who have conflicts-of-interest with the personnel in 
the grant proposal. The Program Director must be informed of any 
additional conflicts-of-interest that arise after the proposal is 
submitted.
11. Collaborative and/or Subcontractual Arrangements
    If it will be necessary to enter into formal consulting or 
collaborative arrangements with others, such arrangements should be 
fully explained and justified. In addition, evidence should be provided 
that the collaborators involved have agreed to render these services. 
If the need for consultant services is anticipated, the proposal 
narrative should provide a justification for the use of such services, 
a statement of work to be performed, a resume or curriculum vita for 
each consultant, and rate of pay for each consultant. For purposes of 
proposal development, informal day-to-day contacts between key project 
personnel and outside experts are not considered to be collaborative 
arrangements and thus do not need to be detailed.
    All anticipated subcontractual arrangements also 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 Grant and Other 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 Sections 40-48 
(``Procurement Standards'') and appendix A (``Contract Provisions'') to 
7 CFR part 3019 should be included in final contractual documents, and 
it is necessary for the subawardee to make a certification relating to 
debarment/suspension.
12. Budget (Form CSREES-55)
    a. Budget form. Prepare the budget, 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. 
The budget form may be reproduced as needed by applicants. Funds may be 
requested under any of

[[Page 14811]]

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 justify their budgets (see section b below.)
    The following guidelines should be used in developing your proposal 
budget(s):
    1. 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.
    2. Fringe Benefits. Funds may be requested for fringe benefit costs 
if the usual accounting practices of your organization provide that 
organizational contributions to employee benefits (e.g., social 
security and retirement) 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.
    3. 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 lower depending on institutional policy) 
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.
    4. 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.
    5. Travel. The type and extent of travel and its relationship to 
project objectives should be described briefly and justified. If travel 
is proposed, the destination, the specific purpose of the travel, a 
brief itinerary, inclusive dates of travel, and estimated cost must be 
provided for each trip. Airfare allowances normally will not exceed 
round-trip jet economy air accommodations. U.S. flag carriers must be 
used when available. See 7 CFR 3015. 205(b)(4) for further guidance.
    6. Publication Costs/Page Charges. Include anticipated costs 
associated with publications in a journal (preparing and publishing 
results including page charges, necessary illustrations, and the cost 
of a reasonable number of coverless reprints) and audio-visual 
materials that will be produced. Photocopying and printing brochure, 
etc., should be shown in Section I., ``All Other Direct Costs'' of Form 
CSREES-55.
    7. 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.
    8. 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 also applies to 
revised budgets, as the item(s) and dollar amount(s) may change. 
Examples may include space rental at remote locations, subcontractual 
costs, and charges for consulting services, telephone, facsimile, 
shipping costs, and fees necessary for 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 each subcontractor 
or consultant and retained by the grantee.
    9. Indirect Costs. Section 1462 of the National Agricultural 
Research, Extension, and Teaching Policy Act of 1977 (7 U.S.C. 3310) 
limits indirect costs for this program to 19 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 institution's 
official negotiated indirect cost rate or the equivalent of 19 percent 
of total Federal funds awarded. Another method of calculating the 
maximum allowable is 23.456 percent of the total direct costs. If no 
rate has been negotiated, a reasonable dollar amount (equivalent to or 
less than 19 percent of total Federal funds requested) in lieu of 
indirect costs may be requested, subject to approval by USDA.
    b. Budget narrative. All budget categories, with the exception of 
Indirect Costs for which support is requested, must be individually 
listed (with costs) in the same order as the budget and justified on a 
separate sheet of paper and placed immediately behind the Budget Form. 
Explanations of matching funds or lack thereof on commodity-specific 
projects also are to be included in this section.
    c. Matching funds. If an applicant concludes that matching funds 
are not required as specified under Part I, F, ``Matching 
Requirements,'' a justification should be included in the budget 
narrative. CSREES will consider this justification when ascertaining 
final matching requirements or in determining if required matching can 
be waived. CSREES retains the right to make final determinations 
regarding matching requirements.
    For those grants requiring matching funds as specified under Part 
I, F, proposals should include written verification of commitments of 
matching support (including both cash and in-kind contributions) from 
third parties. Written verification means:
    (a) For any third party cash contributions, a separate pledge 
agreement for each donation, signed by the authorized organizational 
representatives of the donor organization and the applicant 
organization, which must include: (1) The name, address, and telephone 
number of the donor; (2) the name of the applicant organization; (3) 
the title of the project for which the donation is made; (4) the dollar 
amount of the cash donation; and (5) a statement that the donor will 
pay the cash contribution during the grant period; and
    (b) For any third party in-kind contributions, a separate pledge 
agreement for each contribution, signed by the authorized 
organizational representatives of the donor organization and the 
applicant organization, which must include: (1) The name, address, and 
telephone number of the donor; (2) the name of the applicant 
organization; (3) the title of the project for which the donation is 
made; (4) a good faith estimate of the current fair market value of the 
third party in-kind contribution; and (5) a statement that the donor 
will make the contribution during the grant period.
    The sources and amount of all matching support from outside the 
applicant institution should be summarized on a separate page and 
placed in the proposal immediately following the Budget Narrative. All 
pledge agreements must be placed in the

[[Page 14812]]

proposal immediately following the summary of matching support.
    The value of applicant contributions to the project shall be 
established in accordance with applicable cost principles. Applicants 
should refer to OMB Circular A-21, Cost Principles for Educational 
Institutions, for further guidance and other requirements relating to 
matching and allowable costs.
13. Current and Pending Support (Form CSREES-663)
    All proposals must contain Form CSREES-663 listing other current 
public or private support (including in-house support) to which 
personnel (i.e., individuals submitting a vitae in response to item 
9.(c) of this part) 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 CSREES for this purpose. However, a 
proposal that duplicates or overlaps substantially with a proposal 
already reviewed and funded (or to be funded) by another organization 
or agency will not be funded under this program. Note that the project 
being proposed should be included in the pending section of the form.
14. Assurance Statement(s), (Form CSREES-662)
    A number of situations encountered in the conduct of projects 
require special assurances, 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 involve 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, you must so indicate by checking the ``yes'' box in Block 
19 of Form CSREES-661 (the Cover Page) 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 identified in a proposal and all 
endorsing officials of the proposing organization are required to 
comply with the applicable provisions of the Animal Welfare Act of 
1966, 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, you should check ``yes'' 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 
promulgated 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.
15. Certifications
    Note that by signing Form CSREES-661 the applicant is providing the 
certifications required by 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 the proposal since by signing 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.
16. Compliance with the National Environmental Policy Act (NEPA) (Form 
CSREES-1234)
    As outlined in 7 CFR part 3407 (i.e., 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 
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 
included as the last page of this 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, 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.

C. Submission of Proposals

1. When to Submit (Deadline Date)
    Proposals must be received by COB on May 14, 2001 (5:00 p.m. EST). 
Proposals received after this date will not be considered for funding.
2. What to Submit
    An original and 14 copies must be submitted. In addition submit 10 
copies of the proposal's Project Summary. All copies of the proposals 
and the Project

[[Page 14813]]

Summaries must be submitted in one package.
3. Where to Submit
    Applicants are strongly encouraged to submit completed proposals 
via overnight mail or delivery service to ensure timely receipt by the 
USDA. The address for hand-delivered proposals or proposals submitted 
using an express mail or overnight courier service is: Integrated 
Research, Education, and Extension Competitive Grants Program--National 
Food Safety Initiative; c/o Proposal Services Unit; Cooperative State 
Research, Education, and Extension Service; U.S. Department of 
Agriculture; Room 1307, Waterfront Centre; 800 9th Street, SW.; 
Washington, DC 20024.
    Proposals sent via the U.S. Postal Service must be sent to the 
following address: Integrated Research, Education, and Extension 
Competitive Grants Program--National Integrated Food Safety Initiative; 
c/o Proposal Services Unit; Cooperative State Research, Education, and 
Extension Service; U.S. Department of Agriculture; STOP 2245; Room 1400 
Independence Avenue, SW.; Washington, DC 20024-2245.

D. Acknowledgment of Proposals

    The receipt of all proposals will be acknowledged by e-mail. 
Therefore, applicants are strongly encouraged to provide e-mail 
addresses, where designated, on the Form CSREES-661. If the applicant's 
e-mail address is not indicated, CSREES will acknowledge receipt of the 
proposal by letter.
    Once the proposal has been assigned an identification number, 
please cite that number on all future correspondence. If the applicant 
does not receive an acknowledgment within 60 days of the submission 
deadline, please contact the Program Director.

Part IV--Review Process

A. General

    Each proposal will be evaluated in a 2-part process. First, each 
proposal will be screened to ensure that it meets the administrative 
requirements as set forth in this request for proposals. Second, 
proposals that meet these requirements will be technically evaluated by 
a peer review panel.
    Peer review panel members will be selected based upon their 
training and experience in relevant scientific, education or extension 
fields, taking into account the following factors: (a) The level of 
formal scientific, technical education, and extension experience of the 
individual, as well as the extent to which an individual is engaged in 
relevant research, education and/or extension activities; (b) the need 
to include as peer reviewers experts from various areas of 
specialization within relevant scientific, education, and extension 
fields; (c) the need to include as reviewers other experts (e.g., 
producers, range or forest managers/operators, and consumers) who can 
assess relevance of the proposals to targeted audiences and to program 
needs; (d) the need to include as peer reviewers experts from a variety 
of organizational types (e.g., colleges, universities, industry, state 
and Federal agencies, private profit and non-profit organizations), and 
geographic locations; (e) the need to maintain a balanced composition 
of peer review groups with regard to minority and female representation 
and an equitable age distribution; and (f) the need to include members 
that can judge the effective usefulness to producers and the general 
public of each proposal.

B. Evaluation Criteria

    The evaluation criteria below will be used in reviewing 
applications submitted in response to this RFP:
    (1) Overall merit of the proposal.
    (a) The project goal, approach, or hypothesis is conceptually 
adequate and related to selected priority issues identified in the 
request for proposals;
    (b) Objectives are clearly described and related to selected 
priority issues identified in the request for proposals;
    (c) There is a demonstrated need for the project;
    (d) The target audience(s) is identified (where appropriate);
    (e) The proposed technique, procedure, or methodology is clearly 
described;
    (f) The technique, procedure, or methodology is suitable and 
feasible for the proposed project;
    (g) The evaluation procedures, or means by which data will be 
analyzed and interpreted, are clearly described and are suitable for 
the proposed project;
    (h) The expected results or outcomes are clearly stated; and
    (i) The probability of success of the project is indicated.
    (2) Qualifications of the proposed project personnel, adequacy of 
the facilities, and budget request.
    (a) The roles of all project personnel are clearly defined;
    (b) There is evidence that project personnel have sufficient 
expertise needed to complete the project;
    (c) There is evidence of partnerships with other disciplines and 
institutions;
    (d) There is sufficient time allocated for systematic attainment of 
objectives;
    (e) There is evidence of institutional experience and competence in 
the identified area of work;
    (f) There is adequate support personnel, facilities, and 
instrumentation;
    (g) All necessary budget information is provided and all figures 
are tallied correctly;
    (h) The budget narrative provides adequate justification for all 
budget categories; and
    (i) The proposed budget is appropriate for the scope of the 
project.
    (3) The relevance of the proposed project to current issues in food 
safety and related topical areas.
    (a) The relevance to current issues in food safety is described; 
and
    (b) The project makes a unique and original contribution to food 
safety.
    Priority will be given for integrated, multifunctional research, 
education, and extension projects.

C. Conflicts-of-Interest and Confidentiality

    During the peer evaluation process, extreme care will be taken to 
prevent any actual or perceived conflicts-of-interest that may impact 
review or evaluation. For the purpose of determining conflicts-of-
interest, the academic and administrative autonomy of an institution 
shall be determined by reference to the 2000 Higher Education 
Directory, published by Higher Education Publications, Inc., 6400 
Arlington Boulevard, Suite 648, Falls Church, Virginia 22042. Phone: 
(703) 532-2305.
    Names of submitting institutions and individuals, as well as 
proposal content and peer evaluations, will be kept confidential, 
except to those involved in the review process, to the extent permitted 
by law. In addition, the identities of peer reviewers will remain 
confidential throughout the entire review process. Therefore, the names 
of the reviewers will not be released to applicants. At the end of the 
fiscal year, names of panelists will be made available in such a way 
that the panelists cannot be identified with the review of any 
particular proposal.

Part V--Grant Awards

A. General

    Within the limit of funds available for such purpose, the awarding 
official of CSREES shall make grants to those responsible, eligible 
applicants whose proposals are judged most meritorious under the 
procedures set forth in this RFP. The date specified by the awarding 
official of CSREES as the effective date of the grant shall be no later 
than

[[Page 14814]]

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 RFP 
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 and 3019 of 7 CFR).

B. Funding Mechanisms

    The two mechanisms by which grants may be awarded are as follows:
    (1) Standard grant. This is a funding mechanism whereby the 
Department agrees to support a specified level of effort for a 
predetermined time period without the announced intention of providing 
additional support at a future date.
    (2) Continuation grant. This is a funding mechanism whereby the 
Department agrees to support a specified level of effort for a 
predetermined period of time with a statement of intention to provide 
additional support at a future date, provided that performance has been 
satisfactory, appropriations are available for this purpose, and 
continued support will be in the best interests of the Federal 
government and the public. This kind of mechanism normally will be 
awarded for an initial one-year period, and any subsequent continuation 
project grants will be awarded in one-year increments. The award of a 
continuation project grant to fund an initial or succeeding budget 
period does not constitute an obligation to fund any subsequent budget 
period. Unless prescribed otherwise by CSREES, a grantee must submit a 
separate application for continued support for each subsequent fiscal 
year. Requests for such continued support must be submitted in 
duplicate at least three months prior to the expiration date of the 
budget period currently being funded. Decisions regarding continued 
support and the actual funding levels of such support in future years 
usually will be made administratively after consideration of such 
factors as the grantee's progress and management practices and the 
availability of funds. Since initial peer reviews are based upon the 
full term and scope of the original application, additional evaluations 
of this type generally are not required prior to successive years' 
support. However, in unusual cases (e.g., when the nature of the 
project or key personnel change or when the amount of future support 
requested substantially exceeds the grant application originally 
reviewed and approved), additional reviews may be required prior to 
approving continued funding.

C. 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 RFP, 
if such information has not been provided previously under this or 
another CSREES program. CSREES will provide copies of forms recommended 
for use in fulfilling these requirements as part of the preaward 
process.

D. Grant Award Document and Notice of Grant Award

    The grant award document shall include at a minimum the following:
    (1) 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;
    (2) Title of project;
    (3) Name(s) and address(es) of PI/PD's chosen to direct and control 
approved activities;
    (4) Identifying grant number assigned by the Department;
    (5) Project period, specifying the amount of time the Department 
intends to support the project without requiring recompetition for 
funds;
    (6) Total amount of Departmental financial assistance approved by 
the Administrator during the project period;
    (7) Legal authority(ies) under which the grant is awarded;
    (8) Approved budget plan for categorizing allocable project funds 
to accomplish the stated purpose of the grant award; and
    (9) 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.

Part VI--Additional Information

A. Access To Review Information

    Copies of summary reviews, not including the identity of reviewers, 
will be sent to the applicant PI/PD after the review process has been 
completed.

B. Use of Funds; Changes

    (1) Delegation of Fiscal Responsibility
    Unless the terms and conditions of the grant state otherwise, 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) Changes in Project Plans
    (a) The permissible changes by the grantee, PI/PD(s), 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 CSREES 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, but in no case shall the total 
project period exceed five years. 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

[[Page 14815]]

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.

C. Expected Program Outputs and 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. The report also should 
include a listing of any students who worked on the project (report 
graduate degrees awarded and undergraduates trained, as applicable). A 
budget summary should be attached to this report, which will provide an 
overview of all monies spent during the reporting period.

D. Applicable Federal Statutes and Regulations

    Several 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 1.1--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., OMB Circular Nos. A-21 and A-122) 
and incorporating provisions of 31 U.S.C. 6301-6308 (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 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 Other 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 Organizations.
    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 CSREES transactions, available to the public upon specific request. 
Information that the Secretary determines to be of a confidential, 
privileged, or proprietary nature will be held in confidence to the 
extent permitted by law. Therefore, any information that the applicant 
wishes to have considered as confidential, privileged, or proprietary 
should be clearly marked within 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 provisions of the Paperwork Reduction Act of 1995, as amended (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, DC, this 7th day of March 2001.
Colien Hefferan,
Administrator, Cooperative State Research, Education, and Extension 
Service.
[FR Doc. 01-6201 Filed 3-12-01; 8:45 am]
BILLING CODE 3410-22-P