33472 Federal Register / Vol. 63, No. 117 /Thursday, June 18, 1998 / Notices

DEPARTMENT OF AGRICULTURE

Cooperative State Research,

Education, and Extension Service

Special Research Grants Program,

Food Safety Research, Fiscal Year

1998 Request for Proposals

AGENCY: Cooperative State Research,

Education, and Extension Service

(CSREES).

ACTION: Announcement of availability of

grant funds and Request for Proposals

(RFP) for the Special Research Grants

Program, Food Safety Research.

SUMMARY: CSREES announces the

availability of grant funds and requests

proposals for the Special Research

Grants Program, Food Safety Research

for fiscal year (FY) 1998. The amount

available for support of this program in

FY 1998 is approximately $1,869,545.

This RFP sets out the objectives for

these projects, the eligibility criteria for

projects and applicants, the application

procedures, and the set of instructions

needed to apply for a Food Safety

Research Project grant.

DATES: Applications must be received

on or before August 3, 1998. Proposals

received after August 3, 1998, will not

be considered for funding.

ADDRESSES: To obtain a copy of this RFP

and application materials for the FY

1998 Special Research Grants Program,

Food Safety Research, contact the

Proposal Services Unit, Office of

Extramural Programs; USDA/CSREES at

(202)401–5048. Application materials

may also be requested via Internet by

sending a mesage with your name,

mailing address (not e-mail) and

telephone number to psb@reeusda.gov

that states that you wish to receive a

copy of the RFP and application

materials for the FY 1998 Special

Research Grants Program, Food Safety

Research.

FOR FURTHER INFORMATION CONTACT: Dr.

Anne Bertinuson, Cooperative State

Research, Education, and Extension

Service, U.S. Department of Agriculture,

STOP 2220, 1400 Independence

Avenue, S.W., Washington, D.C. 20250–

2220; telephone (202) 401–6825;

Internet: abertinuson@reeusda.gov; or

Dr. William Wagner, Cooperative State

Research, Education, and Extension

Service, U.S. Department of Agriculture,

STOP 2220, 1400 Independence

Avenue, S.W., Washington, D.C. 20250–

2220; telephone (202) 401–4952;

Internet: wwagner@reeusda.gov.

Table of Contents

Part I—General Information:

A. Legislative Authority

B. Definitions

C. Eligibility

Part II—Program Description

A. Purpose and Scope of the Program

B. Available Funds and Award Limitations

Part III—Preparation of a Proposal

A. Program Application Materials

B. Content of a Proposal

Part IV—Submission of a Proposal

A. What to Submit

B. Where and When to Submit

C. Acknowledgment of Proposals

Part V—Selection Process and Evaluation

Criteria

A. Selection Process

B. Evaluation Criteria

Part VI—Additional Information:

A. Access to Peer Review Information

B. Grant Awards

C. Use of Funds; Changes

D. Other Federal Statutes and Regulations

that Apply

E. Confidential Aspects of Proposals and

Awards

F. Regulatory Information

Part I—General Information

A. Legislative Authority

The authority for this program is

contained in section 2(c)(1)(A) of the

Act of August 4, 1965, Pub. L. 89–106,

as amended (7 U.S.C. 450i(c)(1)(A)).

This Program is subject to the

administrative provisions found in 7

CFR Part 3400 (56 FR 58147, November

15, 1991) for the Special Research

Grants Program which set forth

procedures to be followed when

submitting grant proposals, rules

governing the evaluation of proposals,

the awarding of grants, and post-award

administration of such grants. However,

where there are differences between this

RFP and the administrative provisions,

the RFP shall take precedence.

In accordance with the statutory

authority, grants awarded under the

Special Research Grants Program are for

the purpose of conducting research to

facilitate or expand promising

breakthroughs in areas of the food and

agricultural sciences of importance to

the United States.

B. Definitions

For the purpose of awarding grants

under this program, the following

definitions are applicable in addition to

the definitions identified in 7 CFR Part

3400.

(1) Authorized departmental officer

means the Secretary or any employee of

the Department who has the authority to

issue or modify grant instruments on

behalf of the Secretary.

(2) Authorized organizational

representative means the president,

director, or the chief executive officer of

the applicant organization or the

official, designated by the president,

director, or chief executive officer of the

applicant organization, who has the

authority to commit the resources of the

organization.

(3) Grant means the award by the

Secretary of funds to a grantee to assist

in meeting the costs of conducting, for

the benefit of the public, an identified

project which is intended and designed

to establish, discover, elucidate, or

confirm information or the underlying

mechanisms relating to a research

program area identified in this program

solicitation.

(4) Principal Investigator/Project

Director means the single individual

designated by the grantee in the grant

application and approved by the

Secretary who is responsible for the

scientific and technical direction of the

project.

(5) Prior approval means written

approval evidencing prior consent by an

authorized departmental officer as

defined in (1) above.

(6) Secretary means the Secretary of

Agriculture and any other officer or

employee of the Department to whom

the authority involved may be

delegated.

C. Eligibility

Proposals may be submitted by State

agricultural experiment stations, all

colleges and universities, other research

institutions and organizations, Federal

agencies, private organizations or

corporations, and individuals. Proposals

must be directly related to ensuring the

safety of imported and domestic fruits

and vegetables. Although an applicant

may be eligible based on its status as

one of these entities, there are factors

which may exclude an applicant from

receiving Federal financial and

nonfinancial assistance and benefits

under this program (e.g., debarment or

suspension of an individual involved or

a determination that an applicant is not

responsible based on submitted

organizational management

information).

Part II—Program Description

A. Purpose and Scope of the Program

Proposals are invited for competitive

grant awards under the Special Research

Grants Program, Food Safety Research

for FY 1998. The purpose of this grant

program is to support problem-solving

food safety research that addresses

National emerging issues in food safety.

The first year of this program will focus

on research needs under the President’s

Initiative to Ensure the Safety of

Imported and Domestic Fruits and

Vegetables. Proposals are encouraged

that address:

(1) developing safe and efficacious

techniques to enhance or ensure safety
Federal Register / Vol. 63, No. 117 /Thursday, June 18, 1998 / Notices 33473

of fresh and minimally processed

imported and domestic fruits and

vegetables;

(2) developing means to prevent

infection and cross-contamination of

fresh and minimally processed imported

and domestic fruits and vegetables by

microbial pathogens during harvesting,

handling, transportation, and

distribution;

(3) developing procedures for

sampling fresh and minimally processed

imported and domestic fruits and

vegetables to accurately detect the

presence of microbial pathogens.

Encouragement is also given for

proposals which address minor fruit

and vegetable crops. Proposals should

describe how the research will be

transferred for implementation. Thus,

partnerships are encouraged with

potential users of the new practices or

technologies.

B. Available Funds and Award

Limitations

Funds will be awarded on a

competitive basis to support research

projects that address food safety

research that focuses on ensuring the

safety of imported and domestic fruits

and vegetables. Matching funds are

encouraged but not required. The total

amount of funds available in FY 1998

for support of this program is

approximately $1,869,545. Each

proposal submitted in FY 1998 shall

request funding for a period not to

exceed two years. Funding for

additional years will depend upon the

availability of funds, progress toward

objectives, and program priorities. FY

1998 awardees would need to

recompete in future years for additional

funding.

Congress, in Section 716 of the

Agriculture, Rural Development, Food

and Drug Administration, and Related

Agencies Appropriations Act for FY

1998, Pub. L. 105–86, encourages

entities receiving Federal financial

assistance to use grant funds to

purchase only American-made

equipment or products in the case of

any equipment or product authorized to

be purchased with funds provided

under this program.

Part III—Preparation of a Proposal

A. Program Application Materials

Program application materials will be

made available to interested entities

upon request. These materials include

information about the purpose of the

program, how the program will be

conducted, and the required contents of

a proposal, as well as the forms needed

to prepare and submit grant applications

under the program. To obtain program

application materials, please contact the

Proposal Services Unit; Office of

Extramural Programs; Cooperative State

Research, Education, and Extension

Service; U.S. Department of Agriculture;

STOP 2245; 1400 Independence

Avenue, S.W.; Washington, D. C.

20250–2245; Telephone: (202) 401–

5048. When contacting the Proposal

Services Unit, please indicate that you

are requesting application materials for

the Special Research Grants Program,

Food Safety Research.

Application materials may also be

requested via Internet by sending a

message with your name, mailing

address (not e-mail) and telephone

number to 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 (81⁄2′′ x 11′′) white paper,

one inch margins, typed or word

processed using no type smaller than 12

point font, and single spaced. Use an

easily readable font face (e.g., Geneva,

Helvetica, CG Times).

(b) Each page of the proposal,

including the Project Summary, budget

pages, required forms, and any

appendices, should be numbered

sequentially in the upper right-hand

corner.

(c) The proposal should be stapled in

the upper left-hand corner. Do not bind.

An original and 9 copies (10 total) must

be submitted in one package, along with

20 copies of the ‘‘Project Summary’’ as

a separate attachment.

(2) Cover Page

Each copy of each grant proposal

must contain an ‘‘Application for

Funding’’, Form CSREES–661. One copy

of the application, preferably the

original, must contain the pen-and-ink

signature(s) of the proposing principal

investigator(s)/project director(s)(PI/PD)

and the authorized organizational

representative who possesses the

necessary authority to commit the

organization’s time and other relevant

resources to the project. Any proposed

PI/PD or co-PI/PD whose signature does

not appear on Form CSREES-661 will

not be listed on any resulting grant

award. Complete both signature blocks

located at the bottom of the

‘‘Application for Funding’’ form.

Form CSREES–661 serves as a source

document for the CSREES grant

database; it is therefore important that it

be completed accurately. The following

items are highlighted as having a high

potential for errors or

misinterpretations:

(a) Title of Project (Block 6). The title

of the project must be brief (80-character

maximum), yet represent the major

thrust of the effort being proposed.

Project titles are read by a variety of

nonscientific people; therefore, highly

technical words or phraseology should

be avoided where possible. In addition,

introductory phrases such as

‘‘investigation of’’ or ‘‘research on’’

should not be used.

(b) Program to Which You Are

Applying (Block 7). ‘‘Special Research

Grants Program, Food Safety Research’’

should be inserted in this block. You

may ignore the reference to a Federal

Register announcement.

(c) Program Area and Number (Block

8). The name of the program area, ‘‘Food

Safety Research,’’ should be inserted in

this block. You should ignore references

to the program number and the Federal

Register announcement.

(d) Type of Award Request (Block 13).

Check the box adjacent to ‘‘New.’’ Leave

the section adjacent to ‘‘Prior USDA

Award No.’’ blank.

(e) Principal Investigator(s)/Project

Director(s) (Block 15). The designation

of excessive numbers of co-PI/PD’s

creates problems during final review

and award processes. Listing multiple

co-PI/PD’s, beyond those required for

genuine collaboration, is therefore

discouraged. Note that providing a

Social Security Number is voluntary,

but is an integral part of the CSREES

information system and will assist in

the processing of the proposal.

(f) Type of Performing Organization

(Block 18). A check should be placed in

the box beside the type of organization

which actually will carry out the effort.

For example, if the proposal is being

submitted by an 1862 Land-Grant

institution but the work will be

performed in a department, laboratory,

or other organizational unit of an

agricultural experiment station, box

‘‘03’’ should be checked. If portions of

the effort are to be performed in several

departments, check the box that applies

to the individual listed as PI/PD #1 in

Block 15.a.

(g) Other Possible Sponsors (Block

22). List the names or acronyms of all

other public or private sponsors
33474 Federal Register / Vol. 63, No. 117 /Thursday, June 18, 1998 / Notices

including other agencies within USDA

and other programs funded by CSREES

to whom your application has been or

might be sent. In the event you decide

to send your application to another

organization or agency at a later date,

you must inform the identified CSREES

program manager as soon as practicable.

Submitting your proposal to other

potential sponsors will not prejudice its

review by CSREES; however, duplicate

support for the same project will not be

provided.

(3) Table of Contents

For consistency and ease in locating

information, each proposal must contain

a detailed Table of Contents just after

the Cover Page. The Table of Contents

should include page numbers for each

component of the proposal. Page

numbers, shown in the upper right-hand

corner, should begin with the first page

of the Project Summary.

(4) Project Summary

The proposal must contain a Project

Summary of 250 words or less on a

separate page. The summary must be

self-contained and describe the overall

goals and relevance of the project. The

summary should also contain a listing of

the major organizations participating in

the project. The Project Summary

should immediately follow the Table of

Contents. In addition to the summary,

this page must include the title of the

project, the name of the applicant

organization, the authorized

organizational representative, and the

principal investigator(s)/project

director(s), followed by the summary.

(5) Project Narrative

PLEASE NOTE: The Project Narrative

shall not exceed 15 pages. This

maximum has been established to

ensure fair and equitable competition.

Reviewers are instructed that they need

to read only the first 15 pages of the

Project Narrative and to ignore

information on additional pages.

(a) Objectives—Clear, concise,

complete, and logically arranged

statement(s) of specific aims of the

proposed effort must be included in all

proposals.

(b) Procedures—The procedures or

methodology to be applied to the

proposed effort should be explicitly

stated. This section should include but

not necessarily be limited to:

(i) a description of the proposed

investigations and/or experiments in the

sequence in which it is planned to carry

them out;

(ii) techniques to be employed,

including their feasibility;

(iii) kinds of results expected;

(iv) means by which data will be

analyzed or interpreted;

(v) pitfalls which might be

encountered; and

(vi) limitations to proposed

procedures.

(c) Justification—This section should

include in-depth information on the

following, when applicable:

(i) estimates of the magnitude of the

food safety problem and its relevance to

ongoing National food and agricultural

research programs;

(ii) importance of starting the work

during the current fiscal year, and

(iii) reasons for having the work

performed by the proposing institution.

(d) Cooperation and Institutional

Units Involved—Cooperative and multiState (regional) applications are

encouraged. Identify each institutional

unit contributing to the project. Identify

each State in a multiple-State proposal

and designate the lead State. When

appropriate, the project should be

coordinated with the efforts of other

State and/or national programs. Clearly

define the roles and responsibilities of

each institutional unit of the project

team, if applicable.

(e) Literature Review—A summary of

pertinent publications with emphasis of

their relationship to the effort being

proposed should be provided and

should include all important and recent

publications from other institutions, as

well as those from the applicant

institution. The citations themselves

should be accurate, complete, and

written in an acceptable journal format.

(f) Current Work—Current

unpublished institutional activities to

date in the program area under which

the proposal is being submitted should

be described.

(g) Equipment and Facilities—All

facilities which are available for use or

assignment to the project during the

requested period of support should be

reported and described briefly. Any

potentially hazardous materials,

procedures, situations, or activities,

whether or not directly related to a

particular phase of the effort, must be

explained fully, along with an outline of

the precautions to be exercised.

Examples include work with toxic

chemicals and experiments that may put

human subjects or animals at risk.

All items of major instrumentation

available for use or assignment to the

proposed project also should be

itemized. In addition, items of

nonexpendable equipment needed to

conduct and bring the project to a

successful conclusion should be listed,

including dollar amounts and, if funds

are requested for their acquisition,

justified.

(h) Project Timetable—The proposal

should outline all important phases as

a function of time, year by year, for the

entire project, including periods beyond

the grant funding period.

(6) Key Personnel

All senior personnel who are

expected to be involved in the effort

must be clearly identified. For each

person, the following should be

included:

(a) an estimate of the time

commitment involved;

(b) vitae of the principal

investigator(s)/project director(s), senior

associate(s), and other professional

personnel. This section should include

vitae of all key persons who are

expected to work on the project,

whether or not CSREES funds are

sought for their support. The vitae

should be limited to two (2) pages each

in length, excluding publications

listings; and

(c) a chronological listing of the most

representative publications during the

past five (5) years. This listing must be

provided for each professional project

member for whom a vita appears.

Authors should be listed in the same

order as they appear on each paper

cited, along with the title and complete

reference as these usually appear in

journals.

(7) Collaborative and/or Subcontractual

Arrangements

If it will be necessary to enter into

formal consulting or collaborative

arrangements with other individuals or

organizations, such arrangements

should be fully explained and justified.

In addition, evidence should be

provided that the collaborators involved

have agreed to render these services. A

letter of intent from the individual or

organization will satisfy this

requirement.

All anticipated subcontractual

arrangements should be explained and

justified in this section. A proposed

statement of work and a budget for each

arrangement involving the transfer of

substantive programmatic work or the

providing of financial assistance to a

third party must be provided.

Agreements between departments or

other units of your own institution and

minor arrangements with entities

outside of your institution (e.g., requests

for outside laboratory analyses) are

excluded from this requirement.

If you expect to enter into

subcontractual arrangements, please

note that the provisions contained in 7

CFR Part 3019, USDA Uniform

Administrative Requirements for Grants

and Agreements with Institutions of
Federal Register / Vol. 63, No. 117 /Thursday, June 18, 1998 / Notices 33475

Higher Education, Hospitals, and Other

Non-Profit Organizations, and the

general provisions contained in 7 CFR

Part 3015.205, USDA Uniform Federal

Assistance Regulations, flow down to

subrecipients. In addition, required

clauses from 7 CFR Part 3019 Sections

40–48 (‘‘Procurement Standards’’) and

Appendix A (‘‘Contract Provisions’’)

should be included in final contractual

documents, and it is necessary for the

subawardee to make a certification

relating to debarment/suspension.

(8) Certifications

Note that by signing the Form

CSREES–661 the applicant is providing

the required certifications set forth in 7

CFR Part 3017, as amended, regarding

Debarment and Suspension and DrugFree Workplace, and 7 CFR Part 3018,

regarding Lobbying. The certification

forms are included in the application

package for informational purposes

only. These forms should not be

submitted with your proposal since by

signing the Form CSREES–661 your

organization is providing the required

certifications.

If the project will involve a

subcontractor or consultant, the

subcontractor/consultant should submit

a Form AD–1048 to the grantee

organization for retention in their

records. This form should not be

submitted to USDA.

(9) Additions to the Project Narrative

Each project narrative or description

is expected to be complete in itself.

However, in those instances in which

the inclusion of additional information

is deemed necessary, appendices may

be either attached or submitted as part

of the proposal. Material in the

appendices must be identified, and if

not attached to each proposal must be

identified with the title of the project

and the name(s) of the PI/PD’s as they

appear on the Form CSREES–661.

Examples of material suitable as

appendices include photographs that do

not reproduce well, reprints, and other

pertinent materials which are deemed to

be unsuitable for inclusion in the body

of the proposal.

(10) Budget

Prepare the budget form (Form

CSREES–55) in accordance with

instructions provided. A budget form is

required for each year of requested

support. In addition, a cumulative

budget is required detailing the

requested total support for the overall

project period. (For example, for a twoyear project, the proposal would include

three budget forms; one for each of the

two years of the project and one

cumulative budget for the full two

years.) The budget form may be

reproduced as needed by applicants.

Funds may be requested under any of

the categories listed on the form,

provided that the item or service for

which support is requested is allowable

under the authorizing legislation, the

applicable Federal cost principles and

these program guidelines, and can be

justified as necessary for the successful

conduct of the proposed project.

Applicants must also include a budget

narrative to explain and justify their

budgets. The following guidelines

should be used in developing your

proposal budget(s):

(a) Salaries and Wages. Salaries and

wages are allowable charges and may be

requested for personnel who will be

working on the project in proportion to

the time such personnel will devote to

the project. If salary funds are requested,

the number of Senior and Other

Personnel and the number of CSREES

Funded Work Months must be shown in

the spaces provided. Grant funds may

not be used to augment the total salary

or rate of salary of project personnel or

to reimburse them for time in addition

to a regular full-time salary covering the

same general period of employment.

Salary funds requested must be

consistent with the normal policies of

the institution.

(b) Fringe Benefits. Funds may be

requested for fringe benefit costs if the

usual accounting practices of your

institution provide that institutional

contributions to employee benefits

(social security, retirement, etc.) be

treated as direct costs. Fringe benefit

costs may be included only for those

personnel whose salaries are charged as

a direct cost to the project.

(c) Nonexpendable Equipment.

Nonexpendable equipment means

tangible nonexpendable personal

property including exempt property

charged directly to the award having a

useful life of more than one year and an

acquisition cost of $5,000 or more per

unit. As such, items of necessary

instrumentation or other nonexpendable

equipment should be listed individually

by description and estimated cost in the

budget narrative. This applies to revised

budgets as well, as the equipment

item(s) and amount(s) may change.

Congress, in the Agriculture, Rural

Development, Food and Drug

Administration, and Related Agencies

Appropriations Act, 1998, Pub. L. 105–

86, encourages entities to use Federal

grant funds to purchase only Americanmade equipment or products.

Note: For projects awarded under the

authority of Sec. 2(c)(1)(A) of Pub. L.

89–106, no funds will be awarded for

the renovation or refurbishment of

research spaces; the purchase or

installation of fixed equipment in such

spaces; or for the planning, repair,

rehabilitation, acquisition, or

construction of a building or facility.

(d) Materials and Supplies. The types

of expendable materials and supplies

which are required to carry out the

project should be indicated in general

terms with estimated costs in the budget

narrative.

(e) Travel. The type and extent of

travel and its relationship to project

objectives should be described briefly

and justified. For both domestic and

foreign travel, provide the purpose, the

destination, method of travel, number of

persons traveling, number of days, and

estimated cost for each trip in the

budget narrative. Airfare allowances

normally will not exceed round-trip jet

economy air accommodations. U.S. flag

carriers must be used when available.

See 7 CFR Part 3015.205(b)(4) for further

guidance.

(f) Publication Costs/Page Charges.

Anticipated costs of preparing and

publishing results of the research being

proposed (including page charges,

necessary illustrations, and the cost of a

reasonable number of coverless reprints)

may be estimated and charged against

the grant.

(g) Computer (ADPE) Costs.

Reimbursement for the costs of using

specialized facilities (such as a

university- or department-controlled

computer mainframe or data processing

center) may be requested if such

services are required for completion of

the work.

(h) All Other Direct Costs. Anticipated

direct project charges not included in

other budget categories must be

itemized with estimated costs and

justified in the budget narrative. This

applies to revised budgets as well, as the

item(s) and dollar amount(s) may

change. Examples may include space

rental at remote locations,

subcontractual costs, charges for

consulting services, telephone,

facsimile, shipping costs, and fees for

necessary laboratory analyses. You are

encouraged to consult the ‘‘Instructions

for Completing Form CSREES–55,

Budget,’’ of the Application Kit for

detailed guidance relating to this budget

category.

(i) Indirect Costs. Section 712 of Pub.

L. 105–86 limits indirect costs for this

program to 14 percent of total Federal

funds provided under each award.

Therefore, the recovery of indirect costs

under this program may not exceed the

lesser of the grantee institution’s official

negotiated indirect cost rate or the

equivalent of 14 percent of total Federal
33476 Federal Register / Vol. 63, No. 117 /Thursday, June 18, 1998 / Notices

funds awarded (TFFA). If no rate has

been negotiated, a reasonable dollar

amount (equivalent to or less than 14

percent of total Federal funds requested)

in lieu of indirect costs may be

requested, subject to approval by USDA.

(j) Cost-sharing. Cost-sharing is

encouraged; however, cost-sharing is

not required nor will it be a direct factor

in the awarding of any grant.

(11) Current and Pending Support

All proposals must list any other

current public or private support

(including in-house support) to which

key personnel identified in the proposal

have committed portions of their time,

whether or not salary support for

person(s) involved is included in the

budget. Analogous information must be

provided for any pending proposals that

are being considered by, or that will be

submitted in the near future to, other

possible sponsors, including other

USDA programs or agencies. Concurrent

submission of identical or similar

proposals to the possible sponsors will

not prejudice proposal review or

evaluation by the Administrator for this

purpose. However, a proposal that

duplicates or overlaps substantially

with a proposal already reviewed and

funded (or that will be funded) by

another organization or agency will not

be funded under this program. The

application material includes Form

CSREES–663, ‘‘Current and Pending

Support,’’ which is suitable for listing

current and pending support. Note that

the project being proposed should be

included in the pending section of the

form.

(12) Compliance With the National

Environmental Policy Act (NEPA)

As outlined in 7 CFR Part 3407 (the

Cooperative State Research, Education,

and Extension Service regulations

implementing NEPA), the

environmental data for any proposed

project is to be provided to CSREES so

that CSREES may determine whether

any further action is needed. In some

cases, however, the preparation of

environmental data may not be

required. Certain categories of actions

are excluded from the requirements of

NEPA.

In order for CSREES to determine

whether any further action is needed

with respect to NEPA, pertinent

information regarding the possible

environmental impacts of a particular

project is necessary; therefore, Form

CSREES–1234, ‘‘NEPA Exclusions

Form,’’ must be included in the

proposal indicating whether the

applicant is of the opinion that the

project falls within a categorical

exclusion and the reasons therefor. If it

is the applicant’s opinion that the

proposed project falls within the

categorical exclusions, the specific

exclusion must be identified. Form

CSREES–1234 and supporting

documentation should be placed after

Form CSREES–661, ‘‘Application for

Funding,’’ in the proposal.

Even though a project may fall within

the categorical exclusions, CSREES may

determine that an Environmental

Assessment or an Environmental Impact

Statement is necessary for an activity.

This will be the case if substantial

controversy on environmental grounds

exists or if other extraordinary

conditions or circumstances are present

which may cause such activity to have

a significant environmental effect.

However, this rarely occurs.

(13) Assurance Statement(s) (Form

CSREES–662)

A number of situations encountered

in the conduct of projects require

special assurance, supporting

documentation, etc., before funding can

be approved for the project. In addition

to any other situation that may exist

with regard to a particular project, it is

expected that some applications

submitted in response to these

guidelines will include the following:

(a) Recombinant DNA or RNA

Research. As stated in 7 CFR

3015.205(b)(3), all key personnel

identified in the proposal and all

endorsing officials of the proposing

organization are required to comply

with the guidelines established by the

National Institutes of Health entitled,

‘‘Guidelines for Research Involving

Recombinant DNA Molecules,’’ as

revised. If your project proposes to use

recombinant DNA or RNA techniques,

the application must so indicate by

checking the ‘‘yes’’ box in Block 19 of

Form CSREES–661 and by completing

Section A of Form CSREES–662. For

applicable proposals recommended for

funding, Institutional Biosafety

Committee approval is required before

CSREES funds will be released.

(b) Animal Care. Responsibility for

the humane care and treatment of live

vertebrate animals used in any grant

project supported with funds provided

by CSREES rests with the performing

organization. Where a project involves

the use of living vertebrate animals for

experimental purposes, all key project

personnel and all endorsing officials of

the proposing organization are required

to comply with the applicable

provisions of the Animal Welfare Act of

1996, as amended (7 U.S.C. 2131 et seq.)

and the regulations promulgated

thereunder by the Secretary in 9 CFR

Parts 1, 2, as amended, 3, as amended,

and 4 pertaining to the care, handling,

and treatment of these animals. If your

project will involve these animals or

activities, you must check the ‘‘yes’’ box

in Block 20 of Form CSREES–661 and

complete Section B of Form CSREES–

662. In the event a project involving the

use of live vertebrate animals results in

a grant award, funds will be released

only after the Institutional Animal Care

and Use Committee has approved the

project.

(c) Protection of Human Subjects.

Responsibility for safeguarding the

rights and welfare of human subjects

used in any grant project supported

with funds provided by CSREES rests

with the performing organization.

Guidance on this issue is contained in

the National Research Act, Pub. L. No.

93–348, as amended, and implementing

regulations established by the

Department under 7 CFR Part 1c. If you

propose to use human subjects for

experimental purposes in your project,

you should check the ‘‘yes’’ box in

Block 21 of Form CSREES–661 and

complete Section C of Form CSREES–

662. In the event a project involving

human subjects results in a grant award,

funds will be released only after the

appropriate Institutional Review Board

has approved the project.

Part IV—Submission of a Proposal

A. What To Submit

An original and nine copies of the

complete proposal must be submitted.

Each copy of the proposal must be

stapled in the upper left-hand corner.

DO NOT BIND. In addition, submit 20

copies of the proposal’s Project

Summary. All copies of the proposal

and Project Summary must be submitted

in one package.

B. Where and When To Submit

Proposals must be received on or by

August 3, 1998. Proposals may be sent

by First Class mail, but applicants are

strongly encouraged to send their

proposal by certified mail and obtain a

receipt to document the mailing.

Proposals sent via the U.S. Postal

Service must be sent to the following

address:

Special Grants Program—Food Safety

Research c/o Proposal Services Unit,

Office of Extramural Programs

USDA/CSREES, STOP 2245, 1400

Independence Avenue, SW.,

Washington, DC 20250–2245

Telephone: (202) 401–5048

Note: Applicants are strongly encouraged

to submit their completed proposals via

overnight mail or delivery services to ensure
Federal Register / Vol. 63, No. 117 /Thursday, June 18, 1998 / Notices 33477

timely receipt by the USDA and to obtain a

receipt to document dispatch of the proposal.

Hand-delivered proposals or those

delivered by an overnight express

service should be brought to the

following address:

Special Grants Program—Food Safety

Research, c/o Proposal Services Unit,

Office of Extramural Programs.

USDA/CSREES, Room 303, Aerospace

Center, 901 D Street, SW.,

Washington, DC 20024, Telephone:

(202) 401–5048

C. Acknowledgment of Proposals

The receipt of all proposals will be

acknowledged in writing and this

acknowledgment will contain an

identifying proposal number. Once your

proposal has been assigned an

identification number, please cite that

number in future correspondence.

Part V—Selection Process and

Evaluation Criteria

A. Selection Process

Applicants should submit fully

developed proposals that meet all the

requirements set forth in this request for

proposals.

Each proposal will be evaluated in a

two-part process. First, each proposal

will be screened to ensure that it meets

the requirements as set forth in this

request for proposals. Second, proposals

that meet these requirements will be

technically evaluated by a peer review

panel.

The individual peer panel members

will be selected from among those

persons recognized as specialists who

are uniquely qualified by training and

experience in their respective fields to

render expert advice on the merit of the

proposals being reviewed. The

individual views of the panel members

will be used by CSREES staff to

determine which proposals should be

recommended to the Administrator (or

his designee) for final funding

decisions.

There is no commitment by USDA to

fund any particular proposal or to make

a specific number of awards. Care will

be taken to avoid actual and potential

conflicts of interest among reviewers.

Evaluations will be confidential to

USDA staff members, peer panel

reviewers, and the proposed principal

investigator(s)/project director(s), to the

extent permitted by law.

B. Evaluation Criteria

In accordance with the provisions of

7 CFR 3400.5, the evaluation factors

below will be used in lieu of those

contained in 7 CFR 3400.15 in

reviewing applications submitted in

response to this request for proposals on

National issues for food safety in fruits

and vegetables:

(1) Scientific merit of the proposal

(represents 50% of the evaluation).

• Conceptual adequacy of the

hypothesis or approach as related to the

program objectives in reducing

microbial contamination of fresh fruits

and vegetables;

• Clarity and delineation of proposed

project objectives as related to National

issues and objectives;

• Adequacy of the description of the

proposed work;

• Suitability and feasibility of the

methodology for implementation in

reducing microbial contamination of

fresh fruits and vegetables;

• Probability of success of the project;

and

• Novelty, uniqueness, and

originality.

(2) Qualifications of the proposed

project personnel and adequacy of the

facilities (represents 25% of the

evaluation).

• Training and demonstrated

awareness of previous alternative

approaches to relevant objective(s)

listed in the Request for Proposals and

performance record and/or potential for

future accomplishments;

• Time allocated for systematic

attainment of objectives;

• Institutional experience and

competence in food safety of fruits and

vegetables; and

• Adequacy of available or obtainable

support personnel, facilities, and

instrumentation.

(3) Adoption or transfer of technology

strategies (represents 25% of the

evaluation).

• Established or documented linkage

with industry partner(s); and

• Clear and effective plan for

educational outreach and technology

transfer to end users in fruit and

vegetable industry.

Part VI—Additional Information:

A. Access to Peer Review Information

Copies of summary reviews, not

including the identity of the reviewers,

will be sent to all applicant PI/PD’s

automatically, after the review process

has been completed.

B. Grant Awards

(1) General

Within the limit of funds available for

such purpose, the Administrator shall

make grants to those responsible,

eligible applicants whose proposals are

judged most meritorious under the

procedures set forth in this request for

proposals. The date specified by the

Administrator as the effective date of

the grant shall be no later than

September 30 of the Federal fiscal year

in which the project is approved for

support and funds are appropriated for

such purpose, unless otherwise

permitted by law. It should be noted

that the project need not be initiated on

the grant effective date, but as soon

thereafter as practical so that project

goals may be attained within the funded

project period. All funds granted by

CSREES under this request for proposals

shall be expended solely for the purpose

for which the funds are granted in

accordance with the approved

application and budget, the regulations,

the terms and conditions of the award,

the applicable Federal cost principles,

and the Department’s assistance

regulations (Parts 3015, 3016, and 3019

of 7 CFR).

(2) Organizational Management

Information

Specific management information

relating to an applicant shall be

submitted on a one-time basis as part of

the responsibility determination prior to

the award of a grant identified under

this part if such information has not

been provided previously under this or

another program for which the

sponsoring agency is responsible.

Copies of forms recommended for use in

fulfilling the requirements contained in

this section will be provided by the

sponsoring agency as part of the

preaward process.

(3) Grant Award Document and Notice

of Grant Award

The grant award document shall

include at a minimum the following:

(a) Legal name and address of

performing organization or institution to

whom the Administrator has awarded a

grant under the terms of this request for

proposals;

(b) Title of project;

(c) Name(s) and address(es) of PI/PD’s

chosen to direct and control approved

activities;

(d) Identifying grant number assigned

by the Department;

(e) Project period, specifying the

amount of time the Department intends

to support the project without requiring

recompetition for funds;

(f) Total amount of Departmental

financial assistance approved by the

Administrator during the project period;

(g) Legal authority(ies) under which

the grant is awarded;

(h) Approved budget plan for

categorizing allocable project funds to

accomplish the stated purpose of the

grant award; and
33478 Federal Register / Vol. 63, No. 117 /Thursday, June 18, 1998 / Notices

(i) Other information or provisions

deemed necessary by CSREES to carry

out its respective granting activities or

to accomplish the purpose of a

particular grant.

The notice of grant award, in the form

of a letter, will be prepared and will

provide pertinent instructions or

information to the grantee that is not

included in the grant award document.

CSREES will award standard grants to

carry out this program. A standard grant

is a funding mechanism whereby

CSREES agrees to support a specified

level of effort for a predetermined time

period without additional support at a

future date.

C. Use of Funds; Changes

(1) Delegation of Fiscal Responsibility

The grantee may not in whole or in

part delegate or transfer to another

person, institution, or organization the

responsibility for use or expenditure of

grant funds.

(2) Reporting Requirements

The grantee must prepare an annual

report that details all significant

activities towards achieving the goals

and objectives of the project. The

narrative should be succinct and be no

longer than five pages, using 12-point,

single-spaced type. A budget summary

should be attached to this report, which

will provide an overview of all monies

spent during the reporting period.

(3) Changes in Project Plans

(a) The permissible changes by the

grantee, PI/PD, or other key project

personnel in the approved project grant

shall be limited to changes in

methodology, techniques, or other

aspects of the project to expedite

achievement of the project’s approved

goals. If the grantee and/or the PI/PD’s

are uncertain as to whether a change

complies with this provision, the

question must be referred to the

Authorized Departmental Officer (ADO)

for a final determination.

(b) Changes in approved goals or

objectives shall be requested by the

grantee and approved in writing by the

ADO prior to effecting such changes. In

no event shall requests for such changes

be approved which are outside the

scope of the original approved project.

(c) Changes in approved project

leadership or the replacement or

reassignment of other key project

personnel shall be requested by the

grantee and approved in writing by the

awarding official of CSREES prior to

effecting such changes.

(d) Transfers of actual performance of

the substantive programmatic work in

whole or in part and provisions for

payment of funds, whether or not

Federal funds are involved, shall be

requested by the grantee and approved

in writing by the ADO prior to effecting

such transfers, unless prescribed

otherwise in the terms and conditions of

the grant.

(e) Changes in Project Period: The

project period may be extended by

CSREES without additional financial

support, for such additional period(s) as

the ADO determines may be necessary

to complete or fulfill the purposes of an

approved project. Any extension of time

shall be conditioned upon prior request

by the grantee and approval in writing

by the ADO, unless prescribed

otherwise in the terms and conditions of

a grant.

(f) Changes in Approved Budget:

Changes in an approved budget must be

requested by the grantee and approved

in writing by the ADO prior to

instituting such changes if the revision

will involve transfers or expenditures of

amounts requiring prior approval as set

forth in the applicable Federal cost

principles, Departmental regulations, or

in the grant award.

D. Other Federal Statutes and

Regulations That Apply

Several other Federal statutes and

regulations apply to grant proposals

considered for review and to project

grants awarded under this program.

These include but are not limited to:

7 CFR Part 1—USDA implementation

of the Freedom of Information Act.

7 CFR Part 3—USDA implementation

of OMB Circular No. A–129 regarding

debt collection.

7 CFR Part 15, subpart A—USDA

implementation of Title VI of the Civil

Rights Act of 1964, as amended.

7 CFR Part 3015—USDA Uniform

Federal Assistance Regulations,

implementing OMB directives (i.e.,

Circular Nos. A–21 and A–122) and

incorporating provisions of 31 U.S.C.

6301–6308 (formerly the Federal Grant

and Cooperative Agreement Act of 1977,

Pub. L. 95–224), as well as general

policy requirements applicable to

recipients of Departmental financial

assistance.

7 CFR Part 3016, as amended—

Uniform Administrative Requirements

for Grants and Cooperative Agreements

to State and Local Governments.

7 CFR Part 3017—USDA

implementation of Governmentwide

Debarment and Suspension

(Nonprocurement) and

Governmentwide Requirements for

Drug-Free Workplace (Grants).

7 CFR Part 3018—USDA

implementation of Restrictions on

Lobbying. Imposes prohibitions and

requirements for disclosure and

certification related to lobbying on

recipients of Federal contracts, grants,

cooperative agreements, and loans.

7 CFR Part 3019—USDA

implementation of OMB Circular A–

110, Uniform Administrative

Requirements for Grants and

Agreements With Institutions of Higher

Education, Hospitals, and Other

Nonprofit Organizations.

7 CFR Part 3052 (62 FR 45947)—

USDA implementation of OMB Circular

No. A–133, Audits of States, Local

Governments, and Non-profit

Institutions.

7 CFR Part 3407—CSREES procedures

to implement the National

Environmental Policy Act of 1969, as

amended.

29 U.S.C. 794 (section 504,

Rehabilitation Act of 1973) and 7 CFR

Part 15B (USDA implementation of

statute)—prohibiting discrimination

based upon physical or mental handicap

in Federally assisted programs.

35 U.S.C. 200 et seq.—Bayh-Dole Act,

controlling allocation of rights to

inventions made by employees of small

business firms and domestic nonprofit

organizations, including universities, in

Federally assisted programs

(implementing regulations are contained

in 37 CFR Part 401).

E. Confidential Aspects of Proposals

and Awards

When a proposal results in a grant, it

becomes a part of the record of the

Agency’s transactions, available to the

public upon specific request.

Information that the Secretary

determines to be of a privileged nature

will be held in confidence to the extent

permitted by law. Therefore, any

information that the applicant wishes to

have considered as privileged should be

clearly marked as such and sent in a

separate statement, two copies of which

should accompany the proposal. The

original copy of a proposal that does not

result in a grant will be retained by the

Agency for a period of one year. Other

copies will be destroyed. Such a

proposal will be released only with the

consent of the applicant or to the extent

required by law. A proposal may be

withdrawn at any time prior to the final

action thereon.

F. Regulatory Information

For the reasons set forth in the final

Rule-related Notice to 7 CFR Part 3015,

subpart V (48 FR 29115, June 24, 1983),

this program is excluded from the scope

of the Executive Order 12372 which

requires intergovernmental consultation

with State and local officials. Under the
Federal Register / Vol. 63, No. 117 /Thursday, June 18, 1998 / Notices 33479

provisions of the Paperwork Reduction

Act of 1995 (44 U.S.C. Chapter 35), the

collection of information requirements

contained in this Notice have been

approved under OMB Document No.

0524–0022.4

Done at Washington, D.C., this 11 day of

1998.

Colien Hefferan,

Acting Administrator, Cooperative State

Research, Education, and Extension Service.

[FR Doc. 98–16152 Filed 6–17–98; 8:45 am]

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