[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
_______________________________________________________________________
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 psb@reeusda.gov 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:
abertinuson@reeusda.gov.
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 psb@reeusda.gov 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 psb@reeusda.gov 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
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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
