U.S. Food and Drug Administration (FDA)
The policies, guidelines, terms, and conditions stated in this announcement may differ from those used by the NIH. Where this Funding Opportunity Announcement (FOA) provides specific written guidance that may differ from the general guidance provided in the grant application form, please follow the instructions given in this FOA.
The FDA does not follow the NIH Page Limitation Guidelines or the NIH Review Criteria. Applicants are encouraged to consult with FDA Agency Contacts for additional information regarding page limits and the FDA Objective Review Process.
State and Territory Cooperative Agreement to Enhance Produce Safety in Preparation of Implementation of FDA's Rule: Standards for the Growing, Harvesting, Packing, & Holding of Produce for Human Consumption (U18)
U18 Research Demonstration Cooperative Agreements
New
- June 8, 2016 - Notice of Change to Application Due Dates for PAR-16-137. See Notice NOT-FD-16-013.
- April 27, 2016 - Notice of Change to Award Information for PAR-16-137. See Notice NOT-FD-16-012.
- April 11, 2016 - Notice of Change to Award Information for PAR-16-137. See Notice NOT-FD-16-009.
- NOT-OD-16-004 - NIH & AHRQ Announce Upcoming Changes to Policies, Instructions and Forms for 2016 Grant Applications (November 18, 2015)
PAR-16-137
93.103
The overall purpose of this FOA is to establish or enhance State and Territory Produce Safety Programs to encourage the safe production of fresh fruits and vegetables and to promote compliance with the requirements of FDA’s Regulation Standards for the Growing, Harvesting, Packing, and Holding of Produce for Human Consumption (commonly referred to as the Produce Safety Rule).
Improving produce safety will help Federal, State, and Territory authorities better direct their food safety and regulatory activities at reducing foodborne illness hazards.
March 17, 2016
May 4th, 2016 for June 3, 2016 application due date.
February 1, 2017, 2018, 2019 for April 3, 2017, 2018, 2019 application due dates.
April 15, 2016 for June 3, 2016 application due date.
For all subsequent application due dates, letter of intent will be due 60 days prior to the application due date.
June 10, 2016 by 11:59 PM Eastern Time. June 3, 2016 by 11:59 PM Eastern Time.
April 3, 2017, 2018, 2019, by 11:59 PM Eastern Time.
Applicants are encouraged to apply early to allow adequate time to make any corrections to errors found in the application during the submission process by the due date.
Applicants should be aware that on-time submission means that an application is submitted error free (of both Grants.gov and eRA Commons errors) by 11:59 PM Eastern Time on the application due date.
Late applications will not be accepted for this FOA.
Not Applicable
July 2016
May 2017, 2018, 2019
Not Applicable
September 2016, 2017, 2018, 2019
April 4, 2019
Not Applicable
Required Application Instructions
It is critical that applicants follow the instructions in the SF424 (R&R) Application Guide, except where instructed to do otherwise (in this FOA or in a Notice from the NIH Guide for Grants and Contracts). Conformance to all requirements (both in the Application Guide and the FOA) is required and strictly enforced. Applicants must read and follow all application instructions in the Application Guide as well as any program-specific instructions noted in Section IV. When the program-specific instructions deviate from those in the Application Guide, follow the program-specific instructions. Applications that do not comply with these instructions may be delayed or not accepted for review.
Part 1. Overview Information
Part 2. Full Text of the Announcement
Section
I. Funding Opportunity Description
Section II. Award Information
Section III. Eligibility Information
Section IV. Application and Submission
Information
Section V. Application Review Information
Section VI. Award Administration Information
Section VII. Agency Contacts
Section VIII. Other Information
To minimize the risk of serious adverse health consequences or death from consumption of contaminated produce, the Food and Drug Administration (FDA) has established science-based minimum standards for the safe growing, harvesting, packing, and holding of produce, meaning fruits and vegetables grown for human consumption. FDA is establishing these standards as part of the implementation of the FDA Food Safety Modernization Act. To achieve the realities contemplated by this new legislation, a new level of cooperation between Federal, State, and Territorial regulatory and food safety produce entities is required.
FDA recognizes that State and Territory regulatory and food safety agencies may wish to align their produce regulatory authority and practices to reflect the modernized aspects of the FDA Produce Safety Rule. Such alignment will require significant investment to successfully develop and implement multi-faceted administrative programs in support of the Produce Safety Rule. This cooperative agreement is intended to offer one such opportunity for produce infrastructure investment at the State and Territory level.
The purpose of this cooperative agreement is to advance efforts for a nationally integrated food safety system through the planning, establishment, and/or enhancement of State and Territory Produce Safety Programs that encourage the safe production of fresh fruits and vegetables and to promote understanding and compliance with the requirements of FDA s Regulation Standards for the Growing, Harvesting, Packing, and Holding of Produce for Human Consumption (commonly referred to as the Produce Safety Rule).
Awardees are encouraged to evaluate their jurisdiction's unique produce safety landscape, prioritizing commodities regulated by the Produce Safety Rule, and then develop programs to address the specific and unique needs of their jurisdiction.
Achieving alignment with the Produce Safety Rule will require comprehensive self-assessment on the part of a State/Territory program and will encourage continuous improvement and innovation. FDA recognizes that the time required for implementation of a produce safety program will vary between jurisdictions, and FDA intends to be a permanent source of funding, subject to congressional budget decisions. All applicants shall be expected to implement multi-year, strategic plans (if applying for multiple years of funding) to ensure continuous improvement and demonstrate that they are moving towards the goals of improved produce safety and high rates of compliance with the Produce Safety Rule.
The goals of this cooperative agreement are to provide awardees with the resources to:
- Assess their produce landscape, with a focus upon produce covered under the Produce Rule, and available resources to determine the necessary size and scope of their jurisdiction's Produce Safety Program
- Establish a process to develop and maintain a produce farm inventory
- Provide resources for, and invest in, their program's infrastructure
- Develop specific mechanisms to coordinate with other local, state, territory, and federal agencies for produce safety activities
- Formulate a multi-year plan to implement a new or enhanced produce safety system
- Develop a performance measurement system, plan and/or process system to measure the progress towards the goals of this cooperative agreement using analytical processes including quantitative and qualitative data.
- Evaluate the need for new or updated produce legislative or regulatory authority
- Develop and/or provide education, outreach, and technical assistance, prioritizing farming operations covered by the rule
- Develop and/or provide education, outreach, and technical assistance to the jurisdictional produce safety regulators
- Design and implement a compliance program for applicable produce safety regulations at the jurisdictional level.
Consistent with Uniform Guidance 2 CFR 200, an emphasis will be placed on the applicant’s ability to measure progress and track performance using objective, proven and measurable data. As such, applicants shall propose how they will develop and implement a performance measurement system, plan, and/or process and shall carefully consider the Scored Review Criteria listed in Section V of this announcement when submitting their application.
Further information and examples may be provided in the Technical Review Session for applicants who submit Letter of Intent.
The FDA recognizes that jurisdictions currently have different levels of infrastructure regarding produce safety. In order to afford maximum flexibility to applicants in the customization of their efforts to establish or enhance their produce safety infrastructure, the following options and guidance have been incorporated into the Funding Opportunity Announcement.
All budget allocations have been formulated to help provide applicants with guidance on how to optimally budget money for each required activity listed in the competitions A and B. While applicants are free to set their own budget percentages based on their jurisdiction’s need, any significant deviation from the suggested percentages (a difference equal or greater than + or 15 percentage points) shall be accompanied by explanatory justifications.
(Competition A must be completed by ALL applicants. Applicants may request additional funding by completing the information in Competition B.)
All applicants shall specifically address the ability to achieve the following objectives (unless marked as optional) in the cooperative agreement over the course of their project period:
1. Conduct a self-assessment to evaluate jurisdiction s produce commodities covered by the Produce Safety Rule as well as the available resources to determine the necessary size and scope of the entire Produce Safety Program to be established within awardee jurisdiction.
2. Establish a mechanism to develop and maintain an inventory of farms subject to the Produce Safety Rule and/or applicable State/Territory produce safety regulation.
3. Invest in the program's infrastructure through the procurement of equipment and the acquisition of human resources in a fiscally responsible approach.
4. Evaluate existing statutory and/or regulatory authority related to produce safety, and a determination of the changes, to establish, operate and maintain a Produce Safety Program that is supportive of the requirements in FDA’s Produce Safety Regulation.
5. Provide for an educated and informed farming community that will result in knowledge of the Produce Safety Regulation and how to apply the regulation in a manner that will facilitate compliance by the farm
6. Develop a multi-year strategy that outlines the jurisdiction’s plan to carry out all previously listed objectives
Competition A Infrastructure, Education, Technical Assistance, and Inventory Program Project Goals:
Year 1:
Jurisdictional Self-Assessment and Planning (Suggested funding 20% of Infrastructure Tier Allotment)
1. Perform and submit a written evaluation of jurisdiction s existing produce regulatory resources to identify the components that shall be included as part of the new or enhanced Produce Safety Program. Resources include, but are not limited to the following:
- Commodities covered by the Produce Safety Rule
- Existing food/produce safety programs including regulatory programs, audits, educational programs
- Existing resources (personnel, trainings, cooperative extension, etc.) that could be leveraged for produce safety
2. Determine infrastructure needs (in accordance with the allowable costs dictated under the HHS Grants Policy) for the Produce Safety Program including, but not limited to:
- Facilities (Excluding new construction)
- Information technology (IT)
- Equipment
- Supplies
3. Determine the organizational structure and human resources needed in the organization
4. Determine the staffing and operational financial resources needed, annually, to operate and provide for long term implementation of an adequate Produce Safety Program in the jurisdiction
5. Research and implement memorandums of understanding between/among relevant organizations within the jurisdiction to clarify roles and responsibilities regarding produce commodities.
Farm Inventory (Suggested funding 20% of Infrastructure Tier Allotment)
[Inventory work to be prioritized in conjunction with the FDA’s substantial government involvement]
1. Establish a mechanism to develop, periodically review, verify and update farm inventory information, prioritizing farms covered by the regulation. This data shall be used to create an inventory that can be used for determining education and outreach needs as well as planning compliance and enforcement activities (i.e., inspections)
2. Utilize an electronic system to capture farm inventory information which allows sharing with regulatory partners (including FDA) using a service based data exchange with XML data payloads.
Legislative Research (Suggested funding 10% of Infrastructure Tier Allotment)
Applicant shall evaluate existing statutory and/or regulatory authority related to produce safety, and research the changes needed to establish, operate and maintain a Produce Safety Program supportive of the requirements of the FDA’s Produce Safety Rule. Applicant shall need to determine whether to adopt the Produce Safety Rule in its entirety, or work through FDA’s authority regarding inspections.
Infrastructure Development (Suggested funding 30% of Infrastructure Tier Allotment)
After the self-assessment to determine the necessary size and scope of the program to be established, investment shall be made in the program's infrastructure in areas including, but not limited to the following:
a. Establish the appropriate organizational structure and needed positions to support a Produce Safety Program within the jurisdiction.
b. Recruit personnel to fill the positions.
c. Obtain the facilities needed to operate of the Produce Safety Program.
d. Obtain the equipment needed to support the Produce Safety Program.
e. Develop and/or purchase the equipment and software for the necessary IT systems that capture data in discrete data fields which can be mapped to XML standards for data sharing purposes. Note: common data fields for collection shall be decided in cooperation with the FDA
f. Establish mechanisms to coordinate and collaborate with other State, Territory, and Federal agencies, including FDA, on produce safety activities.
Strategic Multi-Year Planning (Suggested funding 20% of Infrastructure Tier Allotment)
The awardee shall develop a multi-year strategy that outlines the jurisdiction’s strategy for accomplishing the overall goals of the cooperative agreement for the remaining years of the cooperative agreement. Components of the multi-year strategy shall include, but are not limited to:
a. State/Territory Legislation and whether creating or modifying local jurisdictional regulatory authority is appropriate
b. Current resources available within the jurisdiction for food safety and the resources needed to establish a Produce Safety Program
c. Identify the components to be part of the Produce Safety Program to be developed and implemented by the jurisdiction
d. Plans for Infrastructure Development
e. Farm Inventory
f. Education, Outreach, and Technical Assistance for Industry
g. Education, Outreach, and Technical Assistance for Regulator and food safety personnel within the jurisdiction’s Produce Safety Program (if applicable)
h. Developing a metrics plan, using analytical processes including quantitative and qualitative data, to identify key metrics that shall be used to measure the outcome of these aforementioned activities and how they shall be gathered and communicated
i. Developing mechanisms to coordinate with other local, state, territory, and federal agencies for produce safety activities. This includes participating in the National Consortium for Produce Safety Program Development (a new assistance resource being developed for awardees under this cooperative agreement)
j. Participating and coordinating with other state produce safety entities through the National Consortium for Produce Safety Program Development.
Year 2:
Continuation of Prior Year’s Goals with specific milestones to be determined between the awardee and the FDA (Suggested funding 50% of Infrastructure Tier Allotment)
Jurisdiction shall continue the work of the objectives described in Year 1 if the requirements of a specific goal have not been achieved or have been designed to last subsequent years.
Education and Outreach and Technical Assistance (Suggested funding 50% of Infrastructure Tier Allotment)
Evaluate educational needs and implement an educational system to provide for an informed farming community that shall result in knowledge of the regulation and how to apply the regulation. A thoroughly planned educational initiative shall include, but not be limited to:
a. Research and identification of different sectors of the produce industry (e.g., commodity group, diversified, organic, farm size) and their unique needs for education, outreach, and technical assistance within the jurisdiction
b. The utilization of existing educational programs and resources (for example utilizing the curriculum and materials developed by the Produce Safety Alliance and the Sprout Safety Alliance, Cooperative Extension, National Coordinating Center and Regional Centers) to ensure that education, outreach and technical assistance is accessible to farmers within your jurisdiction
c. The development and implementation of outreach programs to address local and regional practices and conditions, and share information on best practices within the jurisdiction to both industry and food safety staff involved in education/outreach efforts
d. Establish ties with existing produce safety experts, including FDA’s Technical Assistance Network, to ensure that any questions or issues are raised, and that industry receive technical assistance necessary
e. On-Farm Advisory Reviews (This activity is optional):
Applicant can develop programs designed to provide hands on assistance directly to the farmer concerning produce safety and the practical applications of the requirements of the FDA Produce Safety Rule
a. Advisory reviews can be offered by regulatory personnel prior to compliance dates for covered farms; jurisdictions could consider continuing to offer this program on a limited basis past compliance dates or for farms not covered by the rule (e.g., working with non-regulatory/educational partners)
b. Special Note: The FDA is creating a National Consortium for Produce Safety Program Development to assist in providing support to state and territorial governments interested in On-farm advisory reviews. FDA will provide specific details post award.
Year 3:
Continuation of Prior Years Goals with specific milestones to be determined between the awardee and the FDA (Suggested funding See previous year)
Jurisdiction shall continue the work of the objectives described in Year 1 and 2 if the requirements of a specific goal have not been achieved or have been designed to continue for subsequent years.
Year 4:
Continuation of Prior Years Goals with specific milestones to be determined between the awardee and the FDA (Suggested funding See previous year)
Jurisdictions shall continue the work of the objectives described in Year 1 - 3 if the requirements of a specific goal have not been achieved or have been designed to continue for subsequent years.
Year 5:
Continuation of Prior Years Goals with specific milestones to be determined between the awardee and the FDA (Suggested funding See previous year)
Jurisdictions shall continue the work of the objectives described in Year 1 - 4 if the requirements of a specific goal have not been achieved or have been designed to be completed in subsequent years
Applicants may request additional funding by completing the information in Competition B. Those who choose this increased funding option shall submit an application that contains information from both Competition A and the activities of Competition B. Only one combined application shall be submitted.
Note: Applicants who have no plans to adopt the FDA Produce Safety Rule in its entirety or pursue inspections though jurisdiction’s employees with an FDA commission are not eligible for Competition B funding. To be eligible for Competition B funding, applicants shall submit a letter (uploaded as an appendix) with their application expressly confirming their jurisdiction s intent to adopt the FDA Produce Safety Rule in its entirety or pursue inspections though jurisdiction employees with an FDA commission.
In addition to the goals in Competition A, applicants applying for Competition B shall also specifically address the ability to achieve the following objectives in the cooperative agreement over the course of the 5 year project period:
1. Develop and/or provide education, training, and technical assistance to jurisdictional produce regulators
2. Design and implement a compliance program for applicable produce safety regulations through standardized regulatory inspections
Competition B Inspection, Compliance, And Enforcement Project Goals:
Year 1:
Please provide in the application all the information requested in Competition A, noting the following additional items in select sections:
Strategic Multi-Year Planning (Suggested Funding Levels- Not applicable, as Competition B funds are not available until Year 2)
A multi-year strategy that outlines the jurisdiction’s plan to:
a. Provide education, outreach, and technical assistance to the regulator community within the jurisdiction to promote understanding and appropriate application of the provisions of the Produce Safety Rule to the situation;
b. Provide for inspections and an inspection program as a verification tool to ensure compliance with and understanding of the regulation.
Year 2:
Continuation of Prior Year’s Goals with specific milestones to be determined between the awardee and the FDA (Suggested Funding Levels- See Competition A)
Jurisdiction shall continue the work of the objectives described in Year 1 (Competitions A and B) if the requirements of a specific goal have not been achieved or have been designed to span subsequent years. Please note the following additional and new items for Competition B.
Education and Outreach and Technical Assistance (Suggested funding 30% of Competition B Tier Allotment)
1. Ensure regulatory jurisdiction personnel are trained utilizing the curriculum and materials developed by the FDA for regulators and have the knowledge and skills needed to perform the various functions of their position as it relates to the Produce Safety Program
2. Develop and implement a continuing education program to keep regulators and other food safety personnel current on best practices, available resources, updates to policy (e.g., guidance documents) and changes in the industry as they apply within your jurisdiction
3. Establish ties with FDA’s Produce Safety Network and FDA’s Technical Assistance Network to ensure that any questions or issues are raised, and that state/territory regulators receive technical assistance necessary
Inspectional Program Development: (Suggested funding 70% of Competition B Tier Allotment)
1. Research, design and implement a compliance program for applicable produce safety regulations at the jurisdictional level. The compliance program shall have standardized regulatory surveillance inspections with an emphasis on education to promote compliance. Such a program shall include, but not be limited to the following attributes:
a. Conduct inspections, collecting a common set of data elements in a standardized format to facilitate sharing with FDA and other regulatory partners
b. Collaborate regularly with FDA and other regulatory personnel from other jurisdictions to identify the risk criteria and models that would be recommended for use to prioritize and identify specific farms for inspection
c. Collaborate regularly with FDA and other regulatory personnel to develop recommendations for the number/percentage/frequency of full inspections and the number/percentage of targeted inspections to be conducted
d. Develop an annual work plan/inspection plan for conducting inspections that would be shared with other regulatory entities
e. Collaborate with federal, state, and territory regulatory entities to develop and utilize information technology (IT) systems that shall facilitate sharing inspectional reports by capturing data in discrete data fields which can be mapped to XML standards for data sharing purposes (Note common data fields for collection shall be decided in cooperation with the FDA)
f. When appropriate, initiate a compliance action on a farm or in a packing house (facility)
g. Collaborate with federal, state, and territory regulatory entities to establish common data elements and collection tools that shall facilitate the aggregation of data and data analysis efforts
h. Consult with FDA when situations involving policy interpretation are needed
Year 3:
Continuation of Prior Years Goals with specific milestones to be determined between the awardee and the FDA (Suggested funding See previous year)
Jurisdiction shall continue the work of the objectives described in Year 1 and 2 (Competitions A and B) if the requirements of a specific goal have not been achieved or have been designed to span subsequent years.
Year 4:
Continuation of Prior Years Goals with specific milestones to be determined between the awardee and the FDA (Suggested funding See previous year)
Jurisdiction shall continue the work of the objectives described in Year 1 - 3 (Competitions A and B) if the requirements of a specific goal have not been achieved or have been designed to span subsequent years.
Year 5:
Continuation of Prior Years Goals with specific milestones to be determined between the awardee and the FDA (Suggested funding See previous year)
Jurisdiction shall continue the work of the objectives described in Year 1 - 4 (Competitions A and B) if the requirements of a specific goal have not been achieved or have been designed to span subsequent years.
See Section VIII. Other Information for award authorities and regulations.
Cooperative Agreement: A support mechanism used when there will be substantial Federal scientific or programmatic involvement. Substantial involvement means that, after award, FDA scientific or program staff will assist, guide, coordinate, or participate in project activities. See Section VI.2 for additional information about the substantial involvement for this FOA.
New
The OER Glossary and the SF424 (R&R) Application Guide provide details on these application types.
The number of awards and final funding levels is contingent upon FDA appropriations and the submission of a sufficient number of meritorious applications. Future year amounts will depend on annual appropriations, availability of funding and awardee performance.
FDA/ORA intends to fund up to $19 million, for fiscal year 2016 in support of this grant program.
It is anticipated that up to fifty five (55) awards will be made, not to exceed $1.1 million in total costs (direct plus indirect), per award.
Application budgets need to reflect the actual needs of the proposed project and should not exceed the following in total costs (direct and indirect):
Award Budget |
Application budgets need to reflect the actual needs of the proposed project and should not exceed the following in total costs (direct and indirect):
|
The scope of the proposed project should determine the project period. The maximum project period is five (5) years.
HHS grants policies as described in the HHS Grants Policy Statement will apply to the applications submitted and awards made in response to this FOA.
Governments
- State Governments
-
U.S. Territory or Possession:
- American Samoa
- Northern Mariana Islands
- Guam
- Puerto Rico
- US Virgin Islands
This opportunity is available only to state/territory government food agencies with actual or potential regulatory oversight and responsibility over their respective jurisdiction’s commodities regulated in FDA's Standards for the Growing, Harvesting, Packing, and Holding of Produce for Human Consumption rule.
Only one application is allowed per state/territory. Jurisdictions interested in involving multiple state/territory entities (within their jurisdiction) are required to internally coordinate and choose 1 entity to apply. This organization shall list their plans to sub-award funds (up 40% of entire award) to other entities within their jurisdiction in their application.
Applicants have been classified into 5 tiers of funding ceilings based on the number of farms growing covered produce within the jurisdiction. (Data furnished by the United States Department of Agriculture s National Agricultural Statistics Survey). This tiered system establishes funding ceilings proportional to the applicant’s jurisdictional produce volume. To ascertain which jurisdictions fall into which tiers, please consult Table 1 below.
Applicants are encouraged to apply for cooperative agreement assistance that reflects their jurisdiction’s needs both in terms of amounts of funding and number of project years.
To ascertain an applicant's tier’s funding ceiling, please consult Section II. Award Information.
TABLE 1
Tier 1 |
Tier 2 |
Tier 3 |
Tier 4 |
Tier 5 |
California |
Florida |
Oregon |
Virginia |
New Hampshire |
Texas |
New York |
South Carolina |
Kansas |
|
Washington |
North Carolina |
Arizona |
Nebraska |
|
Georgia |
Michigan |
Oklahoma |
Montana |
|
Pennsylvania |
New Mexico |
Missouri |
North Dakota |
|
Wisconsin |
Maine |
Rhode Island |
||
Hawaii |
Massachusetts |
Delaware |
||
Minnesota |
Illinois |
Nevada |
||
Ohio |
Mississippi |
South Dakota |
||
Alabama |
Indiana |
Alaska |
||
Kentucky |
Tennessee |
Wyoming |
||
Idaho |
American Samoa |
|||
New Jersey |
Northern Mariana Islands |
|||
Louisiana |
Guam |
|||
Iowa |
US Virgin Islands |
|||
Colorado |
||||
Connecticut |
||||
Utah |
||||
West Virginia |
||||
Vermont |
||||
Arkansas |
||||
Maryland |
||||
Puerto Rico |
Non-domestic (non-U.S.) Entities (Foreign Institutions) are
not eligible to apply.
Non-domestic (non-U.S.) components of U.S. Organizations are not eligible
to apply.
Foreign components, as defined in the
HHS Grants Policy Statement, are not allowed.
Applicant Organizations
Applicant organizations must complete and maintain the following registrations as described in the SF 424 (R&R) Application Guide to be eligible to apply for or receive an award. All registrations must be completed prior to the application being submitted. Registration can take 6 weeks or more, so applicants should begin the registration process as soon as possible. Failure to complete registrations in advance of a due date is not a valid reason for a late submission.
- Dun and Bradstreet Universal Numbering System (DUNS) - All registrations require that applicants be issued a DUNS number. After obtaining a DUNS number, applicants can begin both SAM and eRA Commons registrations. The same DUNS number must be used for all registrations, as well as on the grant application.
- System for Award Management (SAM) (formerly CCR) Applicants must complete and maintain an active registration, which requires renewal at least
annually. The renewal process may require as much time as the
initial registration. SAM registration includes the assignment of a Commercial
and Government Entity (CAGE) Code for domestic organizations which have not
already been assigned a CAGE Code.
- NATO Commercial and Government Entity (NCAGE) Code Foreign organizations must obtain an NCAGE code (in lieu of a CAGE code) in order to register in SAM.
- eRA Commons - Applicants must have an active DUNS number and SAM registration in order to complete the eRA Commons registration. Organizations can register with the eRA Commons as they are working through their SAM or Grants.gov registration. eRA Commons requires organizations to identify at least one Signing Official (SO) and at least one Program Director/Principal Investigator (PD/PI) account in order to submit an application.
- Grants.gov Applicants must have an active DUNS number and SAM registration in order to complete the Grants.gov registration.
Program Directors/Principal Investigators (PD(s)/PI(s))
All PD(s)/PI(s) must have an eRA Commons account. PD(s)/PI(s) should work with their organizational officials to either create a new account or to affiliate their existing account with the applicant organization in eRA Commons. If the PD/PI is also the organizational Signing Official, they must have two distinct eRA Commons accounts, one for each role. Obtaining an eRA Commons account can take up to 2 weeks.
Any individual(s) with the skills, knowledge, and resources necessary to carry out the proposed research as the Program Director(s)/Principal Investigator(s) (PD(s)/PI(s)) is invited to work with his/her organization to develop an application for support. Individuals from underrepresented racial and ethnic groups as well as individuals with disabilities are always encouraged to apply for FDA support.
For institutions/organizations proposing multiple PDs/PIs, visit the Multiple Program Director/Principal Investigator Policy and submission details in the Senior/Key Person Profile (Expanded) Component of the SF424 (R&R) Application Guide.
This FOA does not require cost sharing as defined in the HHS Grants Policy Statement.
Only one application is allowed per state/territory. Jurisdictions interested in involving multiple state/territory entities (within their jurisdiction) are required to internally coordinate and choose 1 entity to apply. This organization shall list their plans to sub-award funds (up 40% of entire award) to other entities within their jurisdiction in their application.
Applicants must obtain the SF424 (R&R) application package associated with this funding opportunity using the Apply for Grant Electronically button in this FOA or following the directions provided at Grants.gov.
Applicants must download the application package associated with the Competition they are applying for by referencing the Competition ID field. The Competition ID field will state:
Competition A or
Competition B
It is critical that applicants follow the instructions in the SF424 (R&R) Application Guide, including Supplemental Grant Application Instructions except where instructed in this funding opportunity announcement to do otherwise. Conformance to the requirements in the Application Guide is required and strictly enforced. Applications that are out of compliance with these instructions may be delayed or not accepted for review.
For information on Application Submission and Receipt, visit Frequently Asked Questions Application Guide, Electronic Submission of Grant Applications.
Although a letter of intent is not required, is not binding, and does not enter into the review of a subsequent application, the information that it contains allows FDA staff to estimate the potential review workload and plan the review.
By the date listed in Part 1. Overview Information, prospective applicants are asked to submit a letter of intent that includes the following information:
- Descriptive title of proposed activity
- Name(s), email address(es), and telephone number(s) of the PD(s)/PI(s)
- Names of other key personnel
- Participating institution(s)
- Number and title of this funding opportunity
- Competition ID they are considering (A or B)
The letter of intent shall be sent via electronic mail as a PDF file with State/Territory Cooperative Agreement to Enhance Produce Safety and the number of this funding opportunity to:
Dan Lukash
Grants Management Officer
Email: daniel.lukash@fda.hhs.gov
A technical session will be held for prospective applicants in April/May of 2016 and February of 2017, 2018, and 2019. The conference call information will be provided to prospective applicants that submit a letter of intent. The technical session will provide an overview of the submission requirements and allow prospective applicants an opportunity to ask questions regarding the application process. Participation in the technical session is optional, but strongly encouraged.
All page limitations described in the SF424 Application Guide and the Table of Page Limits must be followed, with the following exceptions or additional requirements:
-
For this specific FOA, the Research Strategy section is limited
to:
- Competition A: 20 pages
- Competition B: 30 pages
The following section supplements the instructions found in the SF424 (R&R) Application Guide and should be used for preparing an application to this FOA.
All instructions in the SF424 (R&R) Application Guide must be followed.
All instructions in the SF424 (R&R) Application Guide must be followed.
All instructions in the SF424 (R&R) Application Guide must be followed.
All instructions in the SF424 (R&R) Application Guide must be followed.
All instructions in the SF424 (R&R) Application Guide must be followed with the following additional instructions:
- Applications requesting multiple years of support must complete and submit a separate detailed budget breakdown and narrative justification for each year of financial support requested.
- If an applicant is requesting indirect costs as part of their budget, a copy of the most recent Federal indirect cost rate or F&A agreement must be provided as part of the application submission. This agreement should be attached to the RESEARCH & RELATED Other Project Information Component as line #12 'Other Attachments'.
- If the applicant organization has never established an indirect cost rate and/or does not have a negotiated Federal indirect cost rate agreement, a de minimis indirect cost rate of 10 percent (10%) of modified total direct costs (MTDC) will be allowed. MTDC means all direct salaries and wages, applicable fringe benefits, materials and supplies, services, travel, and subaward and subcontracts up to the first $25,000 of each subaward or subcontract. MTDC excludes equipment, capital expenditures, charges for patient care, rental costs, tuition remission, scholarships and fellowships, participant support costs and the portion of each subaward and subcontract in excess of $25,000.
- Applicants shall reserve and utilize a portion of their funding for travel of Principal Investigators and/or project staff to meetings of the National Consortium for Produce Program Development.
- If the application includes a request for additional funds to support activities under Competition B, a detailed cost break out of the costs for additional funding should be attached to the RESEARCH & RELATED Other Project Information Component as line #12 'Other Attachments.'
All instructions in the SF424 (R&R) Application Guide must be followed with the following additional instructions:
- Only one application is allowed per state/territory. Jurisdictions interested in involving multiple state/territory entities (within their jurisdiction) are required to internally coordinate and choose 1 entity to apply. This organization shall list their plans to sub-award funds (up 40% of entire award) to other entities within their jurisdiction in their application. Note: sub-awards may also be made to non-government entities, regardless of jurisdiction, to accomplish the goals of the cooperative agreement
All instructions in the SF424 (R&R) Application Guide must be followed.
All instructions in the SF424 (R&R) Application Guide must be followed.
Resource Sharing Plan: Individuals are required to comply with the instructions for the Resource Sharing Plans as provided in the SF424 (R&R) Application Guide with the following modification:
- All applications, regardless of the amount of direct costs requested for any one year, should address a Data Sharing Plan.
Appendix: Do not use the Appendix to circumvent page limits. Follow all instructions for the Appendix as described in the SF424 (R&R) Application Guide with the following additional instructions:
- Competition B: Applicants who have no plans to adopt the FDA Produce Safety Rule in its entirety or pursue inspections though jurisdiction s employees with an FDA commission are not eligible for Competition B funding. To be eligible for Competition B funding, applicants must submit a letter (uploaded as an appendix) with their application expressly confirming their jurisdiction’s intent to adopt the FDA Produce Safety Rule in its entirety or pursue inspections though jurisdiction employees with an FDA commission.
When conducting clinical research, follow all instructions for completing PHS Inclusion Enrollment Report as described in the SF424 (R&R) Application Guide.
All instructions in the SF424 (R&R) Application Guide must be followed.
See Part 1. Section III.1 for information regarding the requirement for obtaining a unique entity identifier and for completing and maintaining active registrations in System for Award Management (SAM), NATO Commercial and Government Entity (NCAGE) Code (if applicable), eRA Commons, and Grants.gov
Part I. Overview Information contains information about Key Dates and times. Applicants are encouraged to submit applications before the due date to ensure they have time to make any application corrections that might be necessary for successful submission.
Organizations must submit applications to Grants.gov (the online portal to find and apply for grants across all Federal agencies). Applicants must then complete the submission process by tracking the status of the application in the eRA Commons, FDA's electronic system for grants administration. eRA Commons and Grants.gov systems check the application against many of the application instructions upon submission. Errors must be corrected and a changed/corrected application must be submitted to Grants.gov on or before the application due date and time. If a Changed/Corrected application is submitted after the deadline, the application will be considered late. Late applications will not be accepted for this FOA.
Applicants are responsible for viewing their application before the due date in the eRA Commons to ensure accurate and successful submission.
Information on the submission process and a definition of on-time submission are provided in the SF424 (R&R) Application Guide.
This initiative is not subject to intergovernmental review.
All FDA awards are subject to the terms and conditions, cost principles, and other considerations described in the HHS Grants Policy Statement.
Pre-award costs are allowable only as described in the HHS Grants Policy Statement.
Program funds may not be used for any purpose other than those directly tied to the goals of the cooperative agreement.
Non-allowable costs:
1) Vehicle purchases are not permitted.
2) Cooperative agreement funds may not be utilized for new building construction or remodeling.
Additional funding restrictions may be part of the Notice of Award.
3) Subcontracting to third parties is limited to 40% of each year's award. Subcontracting with these award funds to awardees receiving funding under cooperative agreement program RFA-FD-16-030 Limited Competition for Revision Applications for National Research Project to Assess State Agricultural Laws, Regulations and Resources Related to Produce Safety is prohibited during the entirety of the project period.
Additional funding restrictions may be part of the Notice of Award.
Applications must be submitted electronically following the instructions described in the SF424 (R&R) Application Guide. Paper applications will not be accepted.
Applicants must complete all required registrations before the application due date. Section III. Eligibility Information contains information about registration.
For assistance with your electronic application or for more information on the electronic submission process, visit Applying Electronically. For assistance with application submission, contact the Application Submission Contacts in Section VII.
Important reminders:
All PD(s)/PI(s) must include their eRA Commons ID in the Credential field of the Senior/Key Person Profile Component of the SF424(R&R) Application Package. Failure to register in the Commons and to include a valid PD/PI Commons ID in the credential field will prevent the successful submission of an electronic application to FDA. See Section III of this FOA for information on registration requirements.
The applicant organization must ensure that the DUNS number it provides on the application is the same number used in the organization’s profile in the eRA Commons and for the System for Award Management. Additional information may be found in the SF424 (R&R) Application Guide.
See more tips for avoiding common errors.
Upon receipt, applications will be evaluated for completeness and compliance with application instructions by the assigned Grants Management Specialist and responsiveness by components of participating organizations, FDA. Applications that are incomplete, non-compliant and/or nonresponsive will not be reviewed.
Applicants are required to follow the instructions for post-submission materials, as described in NOT-OD-13-030.
Only the review criteria described below will be considered in the review process.
Reviewers will consider each of the review criteria below in the determination of scientific merit.
Program Design (40 Points)
This criterion is used to assess the rationale and program design to meet the goals and project milestones of the cooperative agreement to operate Produce Safety Program within the State’s jurisdiction.
Has the application successfully demonstrated or described a program with the ability to:
-Self-assess existing statutory and/or regulatory jurisdiction, infrastructure, staffing, and resources
-Establish a process to maintain large inventories or data sets
-Provide and invest in the program infrastructure, including organizational structure, personnel, facilities and equipment
-Develop communication mechanisms for sharing produce safety activities with local, state and federal partners
-Outline a multi-year strategic plan
-Formulate methods of evaluation, including the use of performance measures, that are clearly related to the intended outcomes of this cooperative agreement and shall produce quantitative and qualitative data where possible
-Promote and/or enhance produce safety legislation
-Identify resources to develop, provide and prioritize education, outreach an technical assistance to farms covered by the rule
-Promote produce safety regulatory authority (for Competition B applicants only)
-Identify resources to develop, provide and prioritize education, outreach and technical assistance to regulators (for Competition B applicants only)
-Design and implement a produce safety compliance program (for Competition B applicants only)
-Provide performance feedback and permit periodic assessment of progress toward achieving intended outcomes
Implementation (20 Points)
This criterion is used to assess the likelihood that a Produce Safety program can be effectively implemented.
Demonstration that proposed plan has the ability to:
-Achieve long-term educational programs and resources
-Monitor and improve the processes and incorporate best practices
-Anticipate and address expected challenges
Environment (10 Points)
This criterion is used to assess if different sectors of the covered produce industry and their unique needs for education, outreach, and technical assistance are addressed.
Has the applicant successfully described a strategy to recognize, consider and address:
-Cultural, economic and geographical variables, such as local and regional practices and conditions
-Agricultural commodity-specific variables
-Diverse educational levels and language barriers
Key Personnel and Project Management (10 Points)
This criterion is used to assess adequacy of proposed project management, including key staff, their functions and their ability to reach targeted audiences, reporting, accounting procedures, and coordination of collaborative efforts with key partners involved in the project.
Has the applicant successfully demonstrated the ability to:
-Engage and collaborate with national or regional training, education and, or technical assistance-related projects with a range of stakeholders
-Participate in national or regional projects that included extensive cooperation and coordination with other Federal or State Government agencies
-Develop and deliver training, education and outreach
-Identify appropriate technical assistance resources, including development of IT systems
-Partner with experienced food safety educational personnel specifically in academia (especially extension), industry, and other stakeholder groups
Communication (20 Points)
This criterion is used to assess the adequacy of the proposed communication and collaboration efforts among Federal, State regulatory partners as well as industry stakeholders in relation to the Produce Safety regulation.
Proposal outlines a plan of action for the dissemination and sharing of ideas, techniques and solutions with relevant parties, including:
-Working with existing food safety programs to maximize efficiency and cohesiveness within a safety structure
-Utilizing novel methods of outreach to ensure effective communication of safety activities to stakeholders
-Establishing relationships with other regulatory entities
As applicable for the project proposed, reviewers will evaluate the following additional items, but will not give separate scores for these items and should not consider them in providing an overall score.
Generally not applicable. Reviewers should bring any concerns to the attention of the assigned Grants Management Specialist.
Generally not applicable. Reviewers should bring any concerns to the attention of the assigned Grants Management Specialist.
Generally not applicable. Reviewers should bring any concerns to the attention of the assigned Grants Management Specialist.
Generally not applicable. Reviewers should bring any concerns to the attention of the assigned Grants Management Specialist.
Not Applicable
Not Applicable
Not Applicable
Generally not applicable. Reviewers should bring any concerns to the attention of the assigned Grants Management Specialist.
Reviewers will comment on whether the following Resource Sharing Plans, or the rationale for not sharing the following types of resources, are reasonable: (1) Data Sharing Plan; (2) Sharing Model Organisms; and (3) Genomic Data Sharing Plan (GDS).
Generally not applicable. Reviewers should bring any concerns to the attention of the assigned Grants Management Specialist.
Reviewers will consider whether the budget and the requested period of support are fully justified and reasonable in relation to the proposed research.
Applications will be evaluated for scientific and technical merit by an Objective Review Committee using the stated review criteria.
As part of the objective review, all applications:
- Will receive a written critique.
Appeals of objective review will not be accepted for applications submitted in response to this FOA.
Applications will compete for available funds with all other recommended applications submitted in response to this FOA. The following will be considered in making funding decisions:
- Scientific and technical merit of the proposed project as determined by objective review.
- Availability of funds.
- Relevance of the proposed project to program priorities.
Successful applicants will be notified of additional information that may be required or other actions leading to an award. The decision not to award a grant, or to award a grant at a particular funding level, is discretionary and is not subject to appeal to any FDA or HHS official or board.
A formal notification in the form of a Notice of Award (NoA) will be provided to the applicant organization for successful applications. The NoA signed by the grants management officer is the authorizing document and will be sent via email to the grantee’s business official.
Awardees must comply with any funding restrictions described in Section IV.5. Funding Restrictions. Selection of an application for award is not an authorization to begin performance. Any costs incurred before receipt of the NoA are at the recipient's risk. These costs may be reimbursed only to the extent considered allowable pre-award costs.
Any application awarded in response to this FOA will be subject to terms and conditions found in the HHS Grants Policy Statement.
All FDA grant and cooperative agreement awards include the HHS Grants Policy Statement as part of the NoA.
Recipients of federal financial assistance (FFA) from HHS must administer their programs in compliance with federal civil rights law. This means that recipients of HHS funds must ensure equal access to their programs without regard to a person’s race, color, national origin, disability, age and, in some circumstances, sex and religion. This includes ensuring your programs are accessible to persons with limited English proficiency. HHS recognizes that research projects are often limited in scope for many reasons that are nondiscriminatory, such as the principal investigator’s scientific interest, funding limitations, recruitment requirements, and other considerations. Thus, criteria in research protocols that target or exclude certain populations are warranted where nondiscriminatory justifications establish that such criteria are appropriate with respect to the health or safety of the subjects, the scientific study design, or the purpose of the research.
HHS provides general guidance to recipients of FFA on meeting their legal obligation to take reasonable steps to provide meaningful access to their programs by persons with limited English proficiency. Please see https://www.hhs.gov/civil-rights/for-individuals/special-topics/limited-english-proficiency/index.html. The HHS Office for Civil Rights also provides guidance on complying with civil rights laws enforced by HHS. Please see http://www.hhs.gov/ocr/civilrights/understanding/section1557/index.html; and https://www.hhs.gov/civil-rights/for-providers/laws-regulations-guidance/index.html. Recipients of FFA also have specific legal obligations for serving qualified individuals with disabilities. Please see http://www.hhs.gov/ocr/civilrights/understanding/disability/index.html. Please contact the HHS Office for Civil Rights for more information about obligations and prohibitions under federal civil rights laws at https://www.hhs.gov/ocr/about-us/contact-us/index.html or call 1-800-368-1019 or TDD 1-800-537-7697. Also note it is an HHS Departmental goal to ensure access to quality, culturally competent care, including long-term services and supports, for vulnerable populations. For further guidance on providing culturally and linguistically appropriate services, recipients should review the National Standards for Culturally and Linguistically Appropriate Services in Health and Health Care at http://minorityhealth.hhs.gov/omh/browse.aspx?lvl=2&lvlid=53.
FDA considers the sharing of research resources developed through FDA-sponsored research an important means to enhance the value and further the advancement of research. When research resources have been developed with FDA funds and the associated research findings published, those findings must be made readily available to the scientific community.
Upon acceptance for publication, scientific researchers must submit the author’s final manuscript of the peer-reviewed scientific publication resulting from research supported in whole or in part with FDA funds to the NIH National Library of Medicine's (NLM) PubMed Central (PMC). FDA defines the author's final manuscript as the final version accepted for journal publication, which includes all modifications from the publishing peer review process. The PMC archive is the designated repository for these manuscripts for use by the public, health care providers, educators, scientists, and FDA. Please see the FDA Public Access Policy.
Additional terms and conditions regarding FDA regulatory and ORA programmatic requirements may be part of the Notice of Award.
Cooperative Agreement Terms and Conditions of Award
The administrative and funding instrument used for this program will be the cooperative agreement, an assistance mechanism (rather than an acquisition mechanism), in which substantial FDA programmatic involvement with the awardees is anticipated during the performance of the activities. Under the cooperative agreement, FDA’s objective is to support and stimulate the recipient’s activities by involvement in and otherwise working jointly with the award recipient in a partnership role; it is not to assume direction, prime responsibility, or a dominant role of activities. Consistent with this concept, the dominant role and prime responsibility resides with the awardee for the project as a whole, although specific tasks and activities may be shared between the awardee and the FDA as defined below.
a) Cooperative Agreement--Project Director/Principal Investigator Rights and Responsibilities:
The Project Director/Principal Investigator (PD/PI) retains the primary responsibility and dominant role for planning, directing, and executing the proposed project, with FDA/ORA staff being substantially involved as a partner with the PD/PI, as described below.
The PD/PI will maintain general oversight for ensuring compliance with the financial and administrative aspects of the award, as well as ensuring that all staff have sufficient clearance and/or background checks to work on this project. This individual will work closely with designated officials within the recipient organization and with partner organizations to create and maintain necessary documentation, including both technical and administrative reports; prepare justifications; appropriately acknowledge Federal support in publications, announcements, news programs, and other media; and ensure compliance with other Federal, regulatory, and organizational requirements.
b) Cooperative Agreement--FDA Responsibilities:
An FDA Project Officer (PO) will be assigned and named in the NoA. The FDA PO is the official responsible for the programmatic, scientific, and/or technical aspects of assigned applications and cooperative agreements. The FDA PO will have substantial programmatic involvement that is above and beyond the normal stewardship role in awards as described below.
The PO will have substantial involvement in the design, implementation, and evaluation of program activities, and dissemination of program results and outcomes, above and beyond routine grant monitoring. Substantial involvement by FDA/ORA includes, but is not limited to, the following:
- Provide guidance, direction, and technical assistance in project planning, implementation, and evaluation;
- Provide subject matter expertise, programmatic assistance, and evaluation services to support program studies and activities;
- Actively monitor the supported program via telephone conversations, e-mails, written correspondence, or periodic site visits;
- Evaluate the supported program, including development of program-level performance measures, consistent data collection, and reporting procedures and protocols;
- Convene trainings, meetings, conference calls, and site visits with grantee to facilitate collaboration and information sharing;
- Participate in data analysis, interpretation of findings, and where appropriate, co-authorship of publications;
- Development of programs to meet the FDA mission;
- Provision of programmatic technical assistance;
- Post-award monitoring of project/program performance, including review of progress reports and making site visits; and other activities complementary to those of the FDA.
Unless another governance structure is mutually agreed upon, the PO will serve as the primary point of contact for the dissemination of FDA policy and milestones/objectives work planning.
Monitoring Activities
The FDA project officer shall monitor grantees periodically. The monitoring may be in the form of, but not limited to, telephone conversations, e-mails, or written correspondence between the project program office/grants management office and the principal investigator. Periodic site visits with officials of the funding recipient organization may also occur. The results of these monitoring activities shall be recorded in the official grant file and shall be available to the funding recipient upon request consistent with applicable disclosure statutes and with FDA disclosure regulations.
Also, the grantee organization shall comply with all special terms and conditions of the cooperative agreement, including those which state that future funding of the project will depend on recommendations from the project officer. The scope of the recommendation shall confirm that: (1) there has been acceptable progress on the project as measured by mutually agreed upon performance measure; (2) there is continued compliance with all FDA regulatory requirements; (3) if necessary, there is an indication that corrective action has taken place.
When multiple years are involved, awardees will be required to submit the Research Performance Progress Report (RPPR) annually and financial statements as required in the Notice of Award.
A mid-year report will be required under this cooperative agreement. Both the annual report and mid-year report should detail performance metrics and funds expended.
A final progress report, invention statement, and the expenditure data portion of the Federal Financial Report are required for closeout of an award, as described in the HHS Grants Policy Statement.
The Federal Funding Accountability and Transparency Act of 2006 (Transparency Act), includes a requirement for awardees of Federal grants to report information about first-tier subawards and executive compensation under Federal assistance awards issued in FY2011 or later. All awardees of applicable FDA grants and cooperative agreements are required to report to the Federal Subaward Reporting System (FSRS) available at www.fsrs.gov on all subawards over $25,000.
We encourage inquiries concerning this funding opportunity and welcome the opportunity to answer questions from potential applicants.
eRA Service Desk (Questions regarding ASSIST, eRA Commons
registration, submitting and tracking an application, documenting system
problems that threaten submission by the due date, post submission issues)
Finding Help Online: https://grants.nih.gov/support/ (preferred method of contact)
Telephone: 301-402-7469 or 866-504-9552 (Toll Free)
Grants.gov
Customer Support (Questions
regarding Grants.gov registration and submission, downloading forms and
application packages)
Contact CenterTelephone: 800-518-4726
Email: support@grants.gov
Denise Beuttenmuller
Office of Partnerships
Office of Regulatory Affairs
Telephone: 240-506-7618
Email: denise.beuttenmuller@fda.hhs.gov
Dan Lukash
Phone : 240-402-7596
Email: daniel.lukash@fda.hhs.gov
Dan Lukash
Phone: 240-402-7596
Email: daniel.lukash@fda.hhs.gov
All awards are subject to the terms and conditions, cost principles, and other considerations described in the HHS Grants Policy Statement.
Awards are made under the authorization of section 301 of the Public Health Service Act (42 USC 241), section 1009 of the Federal Food, Drug, and Cosmetic Act (21 USC 399), 21 USC 2104, and under Federal Regulations 42 CFR Part 52 and 45 CFR Part 75.
and Human Services (HHS)
Note: For help accessing PDF, RTF, MS Word, Excel, PowerPoint, Audio or Video files, see Help Downloading Files.