[Federal Register Volume 62, Number 19 (Wednesday, January 29, 1997)]
[Notices]
[Pages 4382-4393]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-2273]
[[Page 4381]]
_______________________________________________________________________
Part II
Department of Agriculture
_______________________________________________________________________
Cooperative State Research, Education, and Extension Service
_______________________________________________________________________
Fund for Rural American Program; Grant Availability and Request for
Proposals; Notice
Federal Register / Vol. 62, No. 19 / Wednesday, January 29, 1997 /
Notices
[[Page 4382]]
DEPARTMENT OF AGRICULTURE
Cooperative State Research, Education, and Extension Service
Request for Proposals (RFP): Fund for Rural America Program
AGENCY: Cooperative State Research, Education, and Extension Service,
USDA.
ACTION: Announcement of availability of grant funds and request for
proposals for the Fund for Rural America Program.
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SUMMARY: The Federal Agriculture Improvement and Reform Act of 1996
established an account in the Treasury of the United States to provide
funds for rural development programs and a competitive grant program to
support research, education, and extension activities.
This notice pertains only to the competitive grant program for
research, education, and extension activities. It identifies eligible
participants in the program, the program areas to be supported, and the
funding levels for each area; provides instructions for preparing and
submitting proposals; and describes the selection process and
evaluation criteria to be used to make funding decisions. To obtain
program application materials, please contact the Proposal Services
Unit, Grants Management Branch; Office of Extramural Programs; USDA/
CSREES at (202) 401-5048. When calling the Proposal Services Unit,
please indicate that you are requesting forms for the Fund Program.
These materials may also be requested via Internet by sending a message
with your name, mailing address (not e-mail) and phone number to
psb@reeusda.gov which states that you want a copy of the application
materials for the Fiscal Year 1997 Fund Program. The materials will
then be mailed to you (not e-mailed) as quickly as possible.
Planning Grant Applications must be received on or before March 24,
1997. Planning Grant proposals received after March 24, 1997, will not
be considered for funding.
Standard Project Grant Applications must be received on or before
April 28, 1997. Standard project proposals received after April 28,
1997, will not be considered for funding.
FOR FURTHER INFORMATION CONTACT: Dr. Patrick O'Brien, Cooperative State
Research, Education, and Extension Service, U.S. Department of
Agriculture, STOP 2240, Washington, D.C. 20250-2240; telephone (202)
401-1761.
Table of Contents
Part I. General Information
A. Legislative Authority
B. General Definitions
C. Eligibility
D. Available Funds and Award Limitations
E. Matching Funds Requirement
Part II. Program Description
A. Purpose of the Program
B. Approach
C. Focus of the Program
D. Funding Mechanisms
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. Technical Evaluation Criteria
C. Relevance Review
Part VI. Supplementary 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
Part I. General Information
A. Legislative Authority
The Fund for Rural America (The Fund), authorized under Section 793
of the Federal Agriculture Improvement and Reform Act of 1996 (FAIR
Act) (7 U.S.C. 2204(f)), is established as an account in the Treasury
of the United States. The Fund will provide $100 million in each of
three years for rural development programs and a competitive grant
program for research, education, and extension activities. Not less
than one-third of the funds will be available for research, education,
and extension activities, one-third will be available for the
Department's rural development programs, and one-third will be
allocated between the rural development and research activities
according to the Secretary's discretion.
Grants are to be awarded on the basis of merit, quality, and
relevance to advancing the purposes of federally supported agricultural
research, extension, and education provided in Section 1402 of the
National Agricultural Research, Extension, and Teaching Policy Act of
1977, as amended (7 U.S.C. 3101). Section 1402 identifies the following
purposes:
``(1) Enhance the competitiveness of the United States agriculture
and food industry in an increasingly competitive world environment;
(2) Increase the long-term productivity of the United States
agriculture and food industry while maintaining and enhancing the
natural resource base on which rural America and the United States
agricultural economy depend;
(3) Develop new uses and new products for agricultural commodities,
such as alternative fuels, and develop new crops;
(4) Support agricultural research and extension to promote economic
opportunity in rural communities and to meet the increasing demand for
information and technology transfer throughout the United States
agriculture industry;
(5) Improve risk management in the United States agriculture
industry;
(6) Improve the safe production and processing of, and adding of
value to, United States food and fiber resources using methods that
maintain the balance between yield and environmental soundness;
(7) Support higher education in agriculture to give the next
generation of Americans the knowledge, technology, and applications
necessary to enhance the competitiveness of United States agriculture;
and
(8) Maintain an adequate, nutritious, and safe supply of food to
meet human nutritional needs and requirements.''
Section 793(c)(2)(A) of the FAIR Act authorizes the Secretary to
use the Fund for competitive research, education, and extension grants
to:
``(i) Increase international competitiveness, efficiency, and farm
profitability;
(ii) Reduce economic and health risks;
(iii) Conserve and enhance natural resources;
(iv) Develop new crops, new crop uses, and new agricultural
applications of biotechnology;
(v) Enhance animal agricultural resources;
(vi) Preserve plant and animal germplasm;
(vii) Increase economic opportunities in farming and rural
communities; and
(viii) Expand locally-owned, value-added processing.''
B. General Definitions
For the purpose of awarding grants under this program, the
following definitions and applicable:
(1) Administrator means the Administrator of the Cooperative State
Research, Education, and Extension Service (CSREES) and any other
officer or employee of the Department to whom the authority involved
may be delegated.
(2) Authorized departmental officer means the Secretary or any
employee of the Department who has the authority to issue or modify
grant instruments on behalf of the Secretary.
(3) Authorized organizational representative means the president or
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chief executive officer of the applicant organization or the official,
designated by the president or chief executive officer of the applicant
organization, who has the authority to commit the resources of the
organization.
(4) Budget period means the interval of time (usually 12 months)
into which the project period is divided for budgetary and reporting
purposes.
(5) Cash contributions means the applicant's cash outlay, including
the outlay of money contributed to the applicant by non-Federal third
parties.
(6) College or university means an educational institution in any
State which admits as regular students only persons having a
certificate of graduation from a school providing secondary education,
or the recognized equivalent of such a certificate, is legally
authorized within such State to provide a program of education beyond
secondary education, provides an educational program for which an
associate's degree, a bachelor's degree or any other higher degree is
awarded, is a public or other nonprofit institution, and is accredited
by a nationally recognized accrediting agency or association.
(7) Core initiative means the programs encompassing the one-third
of The Fund designated for research, education, and extension
activities in the following areas: international competitiveness,
profitability, and efficiency; environmental stewardship; and rural
community enhancement.
(8) Department or USDA means the United States Department of
Agriculture.
(9) Grant means the award by the Secretary of funds to a Federal
research agency, a national laboratory, a college or university or a
research foundation maintained by a college or university, or a private
research organization to assist in meeting the costs of conducting, for
the benefit of the public, an identified project which is intended and
designed to accomplish the purpose of the program as identified in this
guidelines.
(10) Grantee means the organization designated in the grant award
document as the responsible legal entity to which a grant is awarded.
(11) Matching means that portion of allowable project costs not
borne by the Federal Government, including the value of in-kind
contributions.
(12) Peer review panel means a group of experts qualified by
training and experience in particular fields to give expert advice on
the merit of grant applications in such fields, who evaluate eligible
proposals submitted to this program in their personal area(s) of
expertise.
(13) Private research organization means any non-governmental
corporation, partnership, proprietorship, trust, or other organization
with an established and demonstrated capacity to perform research or
technology transfer which (1) conducts any systematic study directed
toward new or fuller knowledge and understanding of the subject
studied, or (2) systematically relates or applies the findings of
research or scientific experimentation to the application of new
approaches to problem solving, technologies, or management practices;
and (3) has facilities, qualified personnel, independent funding, and
prior projects and accomplishments in research or technology transfer.
(14) Project director means the single individual designated by the
grantee in the grant application and approved by the Secretary who is
responsible for the direction and management of the project.
(15) Prior approval means written approval evidencing prior consent
by an authorized departmental officer as defined in (2) above.
(16) Project means the particular activity within the scope of the
program supported by a grant award.
(17) Project period means the period, as stated in the award
document and modifications thereto, if any, during which Federal
sponsorship begins and ends.
(18) Secretary means the Secretary of Agriculture and any other
officer or employee of the Department to whom the authority involved
may be delegated.
(19) Smaller institution means a college or university or a
research foundation maintained by a college or university that ranks in
the lower one-third of such institutions on the basis of Federal
research funds received (excepting monies received under the Fund).
(20) The Fund means the Fund for Rural America.
(21) Third party in-kind contributions means non-cash contributions
of property or services provided by non-Federal third parties,
including real property, equipment, supplies and other expendable
property, directly benefiting and specifically identifiable to a funded
project or program.
C. Eligibility
Proposals may be submitted by Federal research agencies, national
laboratories, colleges or universities or research foundations
maintained by a college or university, or private research
organizations. National laboratories include Federal laboratories that
are government-owned contractor-operated or government-owned
government-operated. If the applicant is a private organization,
documentation must be submitted establishing that the private
organization has an established and demonstrated capacity to perform
research or technology transfer. A programmatic decision on the
eligibility status of the private organization will be made based on
the information submitted.
D. Available Funds and Award Limitations
Under this program, subject to the availability of funds, the
Secretary may award competitive grants, for periods not to exceed five
years, for the support of research, education, and extension projects
to further the programs of the USDA. The first allocation to the Fund
from the U.S. Treasury is $100,000,000 on January 1, 1997. No less than
one-third of the amount must be used for competitively awarded
research, education, and extension grants. Funds for the competitive
grants program are available to the Department for award during a two-
year period. The Department expects to award approximately $33,464,400
as grants to meritorious eligible applicants under this request for
proposals (RFP), including all funds designated for the Secretary's
Initiative. A subsequent RFP for Fund for Rural America (FRA) Centers
will be issued for not more than $7,584,000 of FY 1997 funds.
Funds, not to exceed one percent of total available funds, will be
used to support the Planning Grants for FRA Centers. Proposals may be
submitted for Center Planning Grants up to $25,000 per proposed FRA
Center for a maximum project period of six months; and Standard Project
Grants up to $600,000 per project for a maximum project period of four
years. Note that CSREES will solicit Center grant applications only
from those applicants who are successful in receiving a Center Planning
Grant. Thus, applicants intending to submit a Center proposal should
register that intention by submitting a Center Planning Grant
application.
Not less than 15 percent of the funds awarded under this program
for research, education, and extension activities under the Core
Initiative and the Secretary's Initiative will be used for grants to
colleges, universities, or research foundations maintained by a college
or university that rank in the lowest one-third of such entities based
on Federal research funds received
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(excepting monies received under the Fund).
Funds awarded under this RFP may not be used for the construction
of a new building or the acquisition, expansion, remodeling, or
alteration of an existing building.
E. Matching Funds Requirement
A grant awarded for applied research that is commodity-specific and
that is not of national scope must be matched by the recipient with
equal funds from a non-Federal source. The matching requirement may be
satisfied through allowable costs incurred by the recipient or
subrecipient and through third party in-kind contributions.
There is no matching requirement for other grants awarded under
this RFP.
Part II. Program Description
A. Purpose of the Program.
The creation of the Fund coincides with fundamental reforms to
Federal farm programs. Commodity program deficiency payments are
eliminated and replaced with transition payments that are to decline
over seven years. These policy changes are likely to have substantial
impacts on production agriculture, most apparently by shifting price
and income risk management away from government programs to farmers
themselves.
At the same time, rural communities are experiencing the effects of
transition due to changes in Federal natural resource policy,
demographic shifts and increasing globalization. Farming is no longer
the dominant source of economic activity in rural America. Most rural
jobs are found in manufacturing, service or government. The natural
resource base of rural areas often is valued more for its amenities as
a place to retire, recreate and reside than it is for extractive
industrial development such as timber harvesting and mining as
demonstrated by recent population gains in high amenity communities.
Changes in international trade policy may have put pressure on low-
skill rural jobs from overseas competitors.
Given the dynamic changes and challenges facing agriculture and
rural communities in general, The Fund provides a short-term
opportunity (3 years) to invest in unique, innovative, high-impact
research, education, and extension programs and projects to aid
farmers, ranchers, and rural communities during this time of transition
to place themselves in a more competitive position for the future. As a
new and distinct element in USDA's portfolio of research, education,
and extension programs, The Fund can mobilize the agricultural
knowledge system to respond to the emerging problems faced by
agricultural producers and rural communities during this time of
change.
The Fund provides an opportunity to develop a new program to
complement USDA's existing portfolio of fundamental and applied
research, extension, and higher education programs. The Fund allows,
for the first time, the integration of research, education, and
extension activities for joint funding. Successful application and
adoption of research findings requires explicit coordination with
education and extension activities. The Fund will encourage
collaboration among educators, research scientists, and extension
personnel to jointly identify and solve problems relevant to rural
communities. The aim of The Fund is to advance the findings of research
into practical applications to address current and emerging problems
and to develop new opportunities for the benefit of rural America and
the nation.
B. Approach
Approaches to be Encouraged: The Fund will be available for
applied, developmental, and adaptive research; technology transfer;
extension and related outreach activities; and education. Projects will
be awarded for short- and intermediate-term application of existing
investments in research and development (R&D) through integration of
research, extension, and education activities. The Fund grants program
will emphasize biological, physical, and social sciences to address
systems-based problems. This requires involvement of affected parties
within the system (such as producers, commodity groups, environmental
interests, rural communities, and other program beneficiaries);
therefore, The Fund will give priority to projects that are designed
and proposed by eligible grant recipients in collaboration with
institutions, organizations, and communities of interest. Strong
partnerships will be critical to leverage and apply research,
education, and extension investments to address user needs and solve
community-defined problems.
For the purposes of assessing proposals submitted to The Fund, the
following priorities will apply:
A Systems-based approach takes a broad rather than reductionist
view, and thus describes how a set of elements or components are
related and how those relationships are relevant to problematic
situations. The Fund strongly encourages research, extension, and
education activities that explicitly recognize, account for, and
enhance the interactions among agricultural, forestry, or agribusiness
activities, natural resource or environmental quality, and economic or
community well being.
Inter- or multidiciplinary approaches integrate or combine separate
discoveries by scientists in different disciplines that can have their
greatest potential value realized when related to one another. For
example, findings from genetics, plant physiology, crop breeding, and
economics are relevant to exploring alternatives for making crops more
disease resistant without sacrificing other valued attributes and
characteristics. The Fund strongly encourages proposals that integrate
the findings or knowledge of multiple disciplines in order to gain the
comprehensive understanding needed to solve complex problems.
Leveraging prior investments in research and technology development
(R&D) is essential to maximizing the impact of The Fund. Many federal
research grant programs support basic research (the creation of new
knowledge) or fundamental technology development (the development of
prototypes or broadly applicable technologies). Although the private
sector also has a relatively large role in applied research and more
specific technology development, there are many research findings and
new technologies that remain unexploited as keys to resolving natural
resource management and other problems of agricultural, forest, and
rural systems and that therefore require public support. The Fund
strongly encourages proposals that: (1) take advantage of prior R&D
investments in adapting those findings to actual production,
processing, marketing, environmental, or community systems, and (2)
investigate and propose solutions to overcoming barriers to adoption of
new or improved technologies, particularly those technologies with the
potential to resolve natural resource and environmental quality
problems in agricultural and forest systems.
Innovative collaborations and partnerships are those designed to
build sustainable solutions to agricultural and rural problems through
community participation. Communities may include geographic locations,
as well as broad communities of interest such as commodity groups,
consumer and environmental interests, agricultural producers, and other
research, education, and extension users and beneficiaries. It is
increasingly recognized that long-run solutions to
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agricultural and community issues require inclusive approaches
encompassing diverse individuals and groups affected by the issue and
the potential solutions. The Fund strongly encourages proposals that:
(1) use collaborations and partnerships among institutions (including
Federal agencies, national laboratories, established research
organizations, and colleges and universities including community
colleges and tribal colleges, as well as state agencies, associations
and other interests) to build and enhance effective linkages with local
communities, user groups, and their grass-roots leadership, and (2)
bring together diverse organizations and interests to derive innovative
approaches to problems and forge partnerships for the future.
C. Focus of the Program
The Fund entails two initiatives: (1) The Fund Care Initiative
which addresses and links international competitiveness, profitability,
and efficiency; environmental stewardship; and rural community
enhancement and, (2) The Secretary's Initiative to Ensure a Safe,
Competitive, Nutritional and Accessible Food System.
1. The Fund Core Initiative
Proposals will be solicited at three levels: (1) single issue areas
that address barriers to solving systemic problems; (2) projects that
include approaches at the intersection of two sets of issues; and (3)
projects that address issues that relate all of the issue areas.
Standard grant proposals may include multinational collaborations. At
the fully integrated level, consortia, centers, and other multi-
institutional collaborations will be considered.
The Fund will seek project proposals that will provide solutions to
problems and advance new opportunities within three objectives that
encompass the eight purposes of the enabling legislation (FAIR Act
Section 703(c)(2)(A)), including:
(1) International competitiveness, profitability, and efficiency.
This set of objectives centers on issues and opportunities arising from
the changes in farm and trade legislation leading to globalization of
markets in food, feed, and fiber, including exposure to risk, barriers
to trade, and new market opportunities. In addition, it will address
plant and animal systems and new technologies and management practices,
particularly those which improve farm efficiency and profitability.
This program incorporates the following purposes included in The Fund
provisions of the FAIR Act: (1) increase international competitiveness,
efficiency, and farm profitability; (2) reduce economic and health
risks; (4) develop new crops, new crop uses, and new agricultural
applications of biotechnology; (5) enhance animal agriculture
resources; (6) preserve plant and animal germplasm. This set of
objectives also may contribute to achieving purposes (7) increase
economic opportunities in farming and rural communities, and (8) expand
locally-owned, value-added processing, of the enabling legislation.
Examples of potential research, education, and extension activities
include, but are not limited to:
--Applied and adaptive research to develop new crops for value-added
processing, to meet emerging markets, and increase flexibility and
responsiveness to risk.
--Research to improve the science base for and compliance with sanitary
and phytosanitary standards for meat and other agricultural and food
products in international trade; integration of this with analysis of
trade opportunities and barriers.
--Development and testing of new curricula to internationalize academic
programs in agriculture, natural resources, and related sciences.
--Extension to improve producers' risk management knowledge, skills,
and practices.
(2) Environmental stewardship. This set of objectives focuses on
stewardship of the natural resource base underlying agriculture and
forestry, as well as the amenity-based economic activities of rural
communities. Several issues in this area include groundwater
contamination; wildlife habitat loss; air and water pollution from
agricultural activities, including animal waste; and soil erosion and
decline in quality. It addresses the following purposes of the
legislation: (3) conserve and enhance natural resources; (4) develop
new crops, new crop uses, and new agricultural applications of
biotechnology; and (6) preserve plant and animal germplasm.
Examples of potential research, education, and extension activities
include, but are not limited to:
--Adoptive research to develop new strategies for animal waste
management such as utilizing advances in genetics to directly and
indirectly (through feeds) reduce environmental contaminants in animal
waste.
--Technology development for mass rearing of biological control agents
along with grower education.
--Extension on new water-efficient farming practices.
--Economic analysis of the amenity value of forests, wildlife and the
biological landscape.
--Utilizing agroecosystems to line agricultural and natural resource
education.
(3) Rural Community enhancement. This objective seeks to address
the problems of outmigration, persistent poverty, unemployment, and
low-skill and low-wage jobs in rural communities. Rural community
enhancement objectives also include quality of life issues such as the
cost and availability of services in rural areas, particularly those
that influence health risks. This objective also could be achieved
through the development of new crops, new crop uses and locally-owned,
valued-added processing as rural economic development strategies in
natural resource and agriculturally-based areas. This objective links
farm and forest profitability to innovative practices, and crops and
crop uses to community advancement. This issue set can address a broad
range of purposes in The Fund including (1) increase international
competitiveness, efficiency, and farm profitability; (2) reduce
economic and health risks; (4) develop new crops, new crop uses, and
new agricultural applications of biotechnology; (7) increase economic
opportunities in farming and rural communities; and (8) expand locally-
owned, value-added processing.
Examples of potential research, education, and extension activities
include, but are not limited to:
--Local leadership development.
--Technology transfer models for linking advances in research to job
growth, waste management and related challenges.
--Extension approaches to community strategic planning for jobs,
resources, services, and economic stability.
--Risk assessment of vulnerabilities of rural, and isolated elderly and
poor.
--Innovations in delivery of education and information in rural areas.
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Today's most pressing problems and emerging issues contain elements
of each of the three constellations of issues to be addressed through
The Fund, and are found at the intersections of the three areas. The
essential character of The Fund competitive grants program is defined
by emphasis on the intersections of problems. The greatest challenge to
agriculture and rural America is trying to solve problems in the
context of related issues. For example, community economic development
strategies based on extraction of natural resources come into conflict
with environmental conservation. The use of no-till soil conservation
methods is suspected to be resulting in vomitoxin in wheat,
jeopardizing U.S. wheat exports. Increasing global competitiveness can
result in loss of low-skill jobs in rural communities. The Fund
competitive grants program will give highest priority to projects which
address multiple, contextual issues; it will also support activities to
overcome barriers in knowledge or technology which will enable
solutions to complex, interrelated issues.
2. The Secretary's Initiative to Ensure a Safe, Competitive,
Nutritional and Accessible Food System
Providing food that is nutritious, safe, affordable and accessible
is vital to agricultural production, to human health, and to the
maintenance of the U.S. economy. Therefore the Secretary of Agriculture
has set aside an additional $10 million (approximately $9.4 million
net) of the Fund to support research, education, and extension
activities that hold exceptional promise to provide needed information
and education in the following areas:
1. Research, technology transfer, and education for small meat and
poultry processors to implement HACCP regulations for the control of
hazardous pathogens. In July 1996, the USDA Food Safety and Inspection
Service (FSIS) issued final regulations to strengthen food safety
controls in meat and poultry processing through a system known as
Hazard Analysis and Critical Control Points (HACCP). HACCP requires
meat and poultry processors to develop systematic plans for controlling
physical, chemical and biological hazards, including microbial hazards
in their processing plants. The deadline for compliance for ``small''
processing plants (between 10 to 499 employees) is 1999. The deadline
for ``very small'' processing plants (less than 10 employees or with
annual sales under $2.5 million) is the year 2000. According to FSIS,
about 8,300 small and very small processing plants will be affected.
The resources and capabilities necessary for implementation of HACCP
are limited by the size of these firms. They will need research-based
educational assistance to comply with the regulations in order to
continue producing a safe product. Assistance through the Fund will
ensure that these firms stay competitive in the meat processing
industry and provide farmers
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and ranchers with competitive marketing outlets for their livestock.
Examples of potential research, education and extension activities
include, but are not limited to:
--Assessment of educational needs of small and very small plants to
achieve HACCP implementation.
--Analysis of the hazards unique to small and very small plants
including biological, chemical, or physical risks.
--Applied and adaptive research on the control of microbials and
related hazards, particularly in small plants.
--Training on monitoring protocols and recordkeeping to trace
contamination to its source.
--Development and delivery of guidance and educational materials,
methods and programs.
2. Research, education, and extension to improve the competitive
position of small, independent livestock producers in an increasingly
concentrated market. Increasing specialization and rapid growth in the
meat packing industry has created a market situation with four large
firms slaughtering about 80 percent of the fed cattle in the United
States. A similar level of concentration exists in the lamb industry
and concentration in the hog industry is increasing. Farmers need
access to current market information and the most up-to-date marketing
tools to market livestock to their best advantage.
USDA is making changes in its regulatory programs and market price
reporting in response to recommendations from the USDA Advisory
Committee on Agricultural Concentration. An increased emphasis on
review of industry trade practices and competition in the industry is
underway. At the same time, the Fund research, education and extension
programs will supplement regulatory efforts by providing independent
producers with knowledge, skills, and technologies that will enable
them to remain profitable and competitive in the livestock market.
Alternative marketing tools and new market outlets are needed to
keep small sellers competitive in the livestock industry. Production
technologies and management systems appropriate for smaller sellers are
needed to identify and enhance the competitive position of small
sellers. For example, small sellers may have the ability to meet a
growing number of niche markets for specialized meat products.
Research, education, and extension is needed to test this potential.
Emphasis will be given to the needs of small and moderate-sized
livestock producers.
Examples of potential research, education and extension activities
include, but are not limited to:
--Research, development and on-farm extension education about low-cost
production facilities, such as hoop housing for swine production,
combined with management systems and genetics appropriate to these
facilities.
--Research and extension on management-intensive grazing systems for
beef and dairy production to realize potential for reduced capital and
feed costs through greater use of management skills for optimizing
labor availability and the natural benefits of grazing pastures.
--Research and extension on integrated crop and livestock systems.
Smaller, more diversified farms typically integrate ``economies of
scope'' compared to larger, industrialized farms that concentrate on
specialization and ``economies of scale.'' Research and extension
education to enhance crop and livestock integration in ways that
increase efficiencies, reduce costs and prevent environmental pollution
can strengthen the competitive position of small producers.
--Economic analysis and market feasibility studies are needed to
identify new and expanded market opportunities where small producers
would have tools and strategies to meet consumer demand (both domestic
and international) for specialized, lean or natural meats and
specialized value-added products. Opportunities for cooperative
marketing and value-added strategies for meat production and processing
could be explored and demonstrated through innovative extension and
outreach programs.
--Technology assessment comparing the technological resources of large,
specialized producers with the technological needs of small producers
to identify and transfer existing technology across all sizes and
scales and/or identify the specific research and education needs of
each.
--Analysis to evaluate the economic impact of integrator's practices
and procedures on contract poultry growers. Greater understanding of
the underlying economics in the poultry industry is needed to guide
policy development. Research and analysis is needed to examine the
growers' investments, length of contracts, exposure to early
termination, other risks, operating characteristics (e.g., type of
poultry houses, equipment and layout periods), operating costs by type
of cost (labor, capital, fuels, utilities, dead bird disposal, etc.),
responsibility for costs (grower or integrator), productivity, revenue
and contract settlements.
--Development of new research methods and procedures to collect
necessary data and measures for reporting of line-of-business profits
for meat packers. Detailed financial and statistical data are needed to
generate meaningful industry performance indicators, such as
profitability, procurement expense, selling expense, research and
development costs, and various financial ratios. The collection of
appropriate data is needed for economic analysis of industry structure,
conduct and performance issues. Cost allocations, revenue allocations,
definitions of lines of business, and frequency of reporting are
examples of issues needing research.
3. Research, education and extension to identify and utilize
phytonutrients with cancer-prevention potential in the design of
functional foods for disease prevention. Current research on cancer and
diet linkages has led to the identification of over 600 plant-derived
chemicals (phytochemicals, or phytonutrients) along with non-nutrient
plant components with cancer-prevention potential. These include anti-
oxidants such as beta carotene and vitamins E and C. Further research
is needed to understand the independent and interactive effects of
phytonutrients and to identify additional protective components.
Genetic engineering techniques make it possible to transfer, enhance or
suppress specific genes from one plant species to another for the
development of ``functional foods.'' Functional foods refers to any
modified food or food ingredient with the potential to provide a health
benefit and to prevent against disease. Congress called for greater
research efforts to develop new varieties of fruits and vegetables for
the prevention of diet-related diseases in the FAIR Act Sec. 1424A,
Pilot Research Program to Combine Medical and Agricultural Research.
Following on the research recommendations outlined by the Institute
of Medicine of the National Academy of Sciences, examples of potential
research, education and extension activities include, but are not
limited to:
--Research to create foods that have increased amounts of the
beneficial components found in fruits, vegetables and grains.
[[Page 4388]]
--Methods to monitor the effectiveness of functional foods on improving
health and preventing diseases.
--Research and analysis to support the issuance of regulatory
guidelines to ensure the safety and efficacy of functional food
products.
--Research on food choice behavior leading to extension and education
programs designed to increase the intake of foods rich in
phytonutrients.
4. Research, education and extension to promote increased gleaning
and food recovery. The most commonly referenced information on the loss
and waste of food at various stages of the food system is based on 1974
data assembled by the General Accounting Office. This information does
not reflect current trends in food production, transport, storage,
acquisition or consumption patterns and preferences--all of which have
significantly changed over the past two decades.
Examples of research, education and extension activities include,
but are not limited to:
--Current information concerning the source(s) of greatest loss in
order to facilitate an expansion in gleaning and food recovery
activities.
--Research and extension efforts to develop and implement mechanisms
such as community-operated canneries or dehydration facilities to
extend the ``shelf life'' of recovery food.
--Extension education and outreach to provide food safety training in
safe food handling practices for organizations involved in gleaning and
food recovery programs.
E. Funding Mechanisms
Two funding mechanisms will be utilized to support projects under
this REFP: (1) Standard Program Grants (for The Fund Core Initiative
and The Secretary's Initiative), (2) Planning Grants for Fund for Rural
America (FRA) Centers (for the Fund Core Initiative only).
Standard Project Grants Opportunities for research, education and
extension in the aforementioned areas of the Fund Core Initiative and
the Secretary's Initiative have been underscored as a means of
providing exceptional promise for solving current and unforeseen
problems in rural communities and agriculture. Successful Standard
Project Grants will form the basis of The Fund by bringing a broad
array of expertise and approaches to individual or collaborative
efforts in specified problem areas and/or which relate two or more of
the issue areas described in the Fund Core Initiative. Standard Project
Grants may involve separate research, education, and extension
activities to fill gaps in knowledge or programs which constitute
barriers to contextual problem solving. The Fund emphasizes multi-
functional, integrated problem solving, however. See ``Preparation of a
Proposal'' section for details on Standard Project Grant application
requirements.
Planning Grants for a FRA Center CSREES intends to assist eligible
applicants as described in Part I.C. of this RFP to establish centers
that bring together individuals, institutions, states and/or regions in
support of research, education and extension in a collaborative process
towards a common goal. An ``FRA Center'' is expected to meet needs in
agricultural research, education and extension that cannot be met
through funding of separate efforts. It is the intent of CSREES to
promote collaboration, open communication, exchange of information and
resources, and integration of activities among individuals,
institutions, states or regions now working independently into
coordinated efforts around common themes that span institutional or
geographical boundaries. By supporting Centers, CSREES will bring
together a critical mass of individuals and expertise to address
problems and issues outlined to be important to rural communities,
producers, and the agricultural enterprise. Centers will minimize
isolation and over-competitiveness, reduce duplication of effort,
enhance multidisciplinary, multifunctional and collaborative efforts,
and provide an accessible source of expert information, technology, and
education upon which the public can draw.
While FRA Centers should focus on the purposes of the Fund, it is
expected that each Center will broadly span functional areas and
address problems that bridge research, education and extension. FRA
Centers may focus on a defined issue with multiple facets which span
the three main goals of the Core Initiative, or may be established to
identify opportunities to solve problems through broad strategies such
as technology transfer. Funding will be provided to eligible applicants
for the management, administration and technical operations of the
Center; however, construction, acquisition, expansion, remodeling, or
alteration of facilities or buildings and purchase of fixed equipment
with Fund grant money is prohibited.
In preparation for a subsequent solicitation of Center
applications, CSREES will support a limited number of FRA Center
Planning Grants. The purpose of Planning Grants will be to provide up
to $25,000 of funds to enable project leaders to bring together the
necessary people and technology to plan a Center application. By
awarding Center Planning Grants, CSREES will enable a greater number of
groups to be at an equal stage of planning when the solicitation for
Center grants occurs, allowing for the submission of high quality
Center applications. CSREES will solicit Center applications only from
those applicants who are successful in receiving a Center Planning
Grant. Thus, applicants intending to submit an FRA Center proposal
should register that intention by submitting a Center Planning Grant
Application. The current RFP Planning Grants will support only the
planning stage of a FRA Center. It is expected that Center applications
will be solicited approximately 4 to 6 months after Center Planning
Grants are awarded. See ``Preparation of a Proposal'' section for
Centers Planning Grant application requirements.
Part III. Preparation of a Proposal
A. Program Application Materials
Program application materials will be made available to eligible
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 application materials, please contact the Proposal
Services Unit, Grants Management Branch; Office of Extramural Programs;
USDA/CSREES at (202) 401-5048. When calling the Proposal Services Unit,
please indicate that you are requesting forms for the Fund Program.
These materials may also be requested via Internet by sending a message
with your name, mailing address (not e-mail) and phone number to
psb@reeusda.gov and state that you want a copy of the application
materials for the Fiscal Year 1997 Fund for Rural America Program. The
materials will then be mailed to you (not e-mailed) as quickly as
possible.
B. Content of a Proposal
A proposal should contain the following:
1. Cover Page: Complete the ``Application for Funding'', Form
CSREES-661, in its entirety.
a. Note that providing a Social Security Number is voluntary, but
the number is an integral part of the
[[Page 4389]]
CSREES information system and will assist in the processing of the
proposal.
b. One copy of the ``Application for Funding'' form must contain
the pen-and-ink signatures of the project director(s) and authorized
organizational representative for the applicant organization.
c. Note that by signing the ``Application for Funding'' form the
applicant is providing the required certifications set forth in 7 CFR
Part 3017, as amended by 61 Federal Register 250, January 4, 1996,
regarding Debarment and Suspension and Drug-Free Workplace, and 7 CFR
Part 3018, regarding Lobbying. The certification forms are included in
this application package for informational purposes only. It is not
necessary to submit the forms to USDA.
2. Table of Contents: For ease in locating information, each
proposal must contain a detailed Table of Contents immediately after
Form CSREES-661, ``Application for Funding.'' The Table of Contents
should include page numbers for each component of the proposal.
Pagination should begin immediately following the Table of Contents.
3. Project Summary: The proposal must contain a project summary of
250 words or less on a separate page. This page must include the title
of the project and the names of the primary project director(s) and the
applicant organization, followed by the summary. The summary should be
self-contained, and should describe the overall goals and relevance of
the project. The summary should also contain a listing of all
organizations involved in the project. The Project Summary should
immediately follow the Table of Contents.
4. Project Narrative: All proposals are to be submitted on standard
8\1/2\'' x 11'' paper with typing on one side of the page only. In
addition, margins must be at least 1'', type must be 12 characters per
inch (12 pitch or 10 point) or larger, no more than 6 lines per inch,
and there should be no page reductions. If applicable, proposals should
include original illustrations (photographs, color prints, etc.) in all
copies of the proposal to prevent loss of meaning through poor quality
reproduction. Such illustrations are not included in the page
limitation for project narratives.
A. Standard Project Narrative
The narrative portion of the Standard Project Proposal is limited
to 20 pages of text.
1. Introduction. A clear statement of the goal(s) and objective(s)
of the project should be included. The problem should be set within the
context of work that has come before it and in context of the present-
day situation. Summarize the body of knowledge which substantiates the
need for the proposed project. Preliminary information pertinent to the
proposed work should also be cited.
2. Rationale and significance. Substantiate the need for the
proposed project. Describe the impact of the project on the end user.
Describe the project's specific relationship to the purposes of the
Fund, to the purposes of the National Agricultural Research, Extension,
and Teaching Policy Act of 1977, as amended (7 U.S.C. 3107), and to the
problem addressed.
3. Objectives and approach. Cite and discuss the specific
objective(s) to be accomplished under the project. A detailed
description of the approach must include:
Techniques and/or procedures used to carry out the
proposed activities and for accomplishing the objectives
The results expected
Limitations
4. Time table. Tentative schedule for conducting the major steps of
the project.
5. Evaluation. Provide a plan for assessing and evaluating the
accomplishments of the stated objectives during the conduct of the
project and describe ways to determine the effectiveness of the end
results upon conclusion of the project.
6. Relationship to partners, communities of interest, and
stakeholders. Describe how the project will involve partners and
communities of interest. Describe how and by whom the focus and scope
of the project were determined, how partners will be involved during
the course of the project, and how end users will be impacted by
results. Clearly describe how results and information will be
disseminated or transferred to end users. Evidence that arrangements
necessary for collaborative partnerships have been discussed with the
parties involved and can realistically be expected to come to fruition,
or have actually been finalized contingent on an award under this
program, must be provided via letters by the parties involved. A letter
from a university must be signed by the dean or research director, a
representative of the university's central administration, or a higher
university official. A letter from a business or industry must be
signed by an official who has the authority to commit the resources of
the organization. Such letters should be placed immediately following
the Project Narrative in the proposal.
7. Coordination and management plan. Describe how the project will
be coordinated among the various participants and clearly describe the
nature of the collaborations. Describe plans for management of the
project to ensure its proper and efficient administration.
B. Planning Grants for FRA Centers Narrative
In preparing Center Planning Grants, applicants should include the
following information in place of the information identified in Part
III.4.A.:
(1) Center Concept: Describe the Center to be proposed, how the
Center fits within the objectives of the Fund, how the Center bridges
research, education and/or extension, how the Center will add value
over funding of separate efforts (2 pages maximum).
(2) Planning Activity: Describe the activities to be included under
the planning portion of the Center activity. Activities could include:
meetings of involved parties, forums to gain input from communities of
interest, review and assessment of reports of agricultural and rural
communities strategic plans and objectives, etc. (2 pages maximum).
(3) Collaborative Arrangements: Identify collaborations and provide
a full explanation of the nature of the collaborations (1 page
maximum).
(4) Timetable: Describe how planning activities can be completed in
a four- to six-month time period (expected length of time between award
of Center Planning Grants and solicitation of Center proposals).
5. Key Personnel: Identify the primary project director and the co-
project director(s) and other key personnel required for this project.
Include vitae that provide adequate information so that proposal
reviewers can make an informed judgment as to their capabilities and
experience.
6. Conflict of Interest List: A Conflict of Interest List must be
provided for individuals identified as key personnel. Each list should
be on a separate page and include alphabetically the full names of the
individuals in the following categories: (1) all collaborators on
projects within the past five years, including current and planned
collaborations; (2) all co-authors on publications within the past five
years, including pending publications and submissions; (3) all persons
in your field with whom you have had a consulting or financial
arrangement within the past five years who would stand to gain by
seeing the project funded; and (4) all thesis or postdoctoral advisees/
advisors within the past five years.
[[Page 4390]]
7. Budget
A. Budget Form: Prepare the budget, Form CSREES-55, in accordance
with instructions provided with the form. A budget form is required for
each year of requested support. In addition, a summary budget is
required detailing the requested total support for the overall project
period. The budget form may be reproduced as needed by applicants.
Funds may be requested under any of 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.
The following guidelines should be used in developing your proposal
budget(s):
1. Salaries and Wages. Salaries and wages are allowable charges and
may be requested for personnel who will be working on the project in
proportion to the time such personnel will devote to the project. If
salary funds are requested, the number of Senior and Other Personnel
and the number of CSREES Funded Work Months must be shown in the spaces
provided. Grant funds may not be used to augment the total salary or
rate of salary of project personnel or to reimburse them for time in
addition to a regular full-time salary covering the same general period
of employment.
2. Fringe Benefits. Funds may be requested for fringe benefit costs
if the usual accounting practices of your organization provide that
organizational contributions to employee benefits (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.
3. Nonexpendable Equipment. Nonexpendable equipment means tangible
nonexpendable personal property including exempt property charged
directly to the award having a useful life of more than one year and an
acquisition cost of $5,000 or more per unit. As such, items of
necessary instrumentation or other nonexpendable equipment should be
listed individually by description and estimated cost.
In addition, pursuant to Section 716(b) of Pub. L. No. 104-180 (the
Agriculture, Rural Development, Food and Drug Administration, and
Related Agencies Appropriations Act, 1997), in the case of any
equipment or product that may be authorized to be purchased with funds
provided under this program, entities receiving such funds are
encouraged to use such funds to purchase only American-made equipment
or products.
4. Materials and Supplies. The types of expendable materials and
supplies which are required to carry out the project should be
indicated in general terms with estimated costs.
5. Travel. The type and extent of travel and its relationship to
project objectives should be described briefly and justified. If
foreign travel is proposed, the country to be visited, the specific
purpose of the travel, a brief itinerary, inclusive dates of travel,
and estimated cost must be provided for each trip. Airfare allowances
normally will not exceed round-trip jet economy air accommodations.
U.S. flag carriers must be used when available. See 7 CFR Part
3015.205(b)(4) for further guidance.
6. 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.
7. Computer (ADPE) Costs. Reimbursement for the costs of using
specialized facilities (such as a university- or department-controlled
computer mainframe or data processing center) may be requested if such
services are required for completion of the work.
8. All Other Direct Costs. Anticipated direct project charges not
included in other budget categories must be itemized with estimated
costs and justified on a separate sheet of paper attached to Form
CSREES-55. This also applies to revised budgets, as the item(s) and
dollar amount(s) may change. Examples may include space rental at
remote locations, subcontractual costs, and charges for consulting
services. 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.
9. Indirect Costs. If requested, the current rate negotiated with
the cognizant Federal negotiating agency should be used. Indirect costs
may not exceed the negotiated rate. If no rate has been negotiated, a
reasonable dollar amount in lieu of indirect costs may be requested,
which will be subject to approval by USDA. In that grants supported by
The Fund may include numerous activities other than traditional
instruction or research, the institution may choose to request rates
that are lower than the institution's approved negotiated research or
instructional rate. Center Planning Grants may request indirect costs
up to a maximum of 8% of Total Federal Funds Awarded for this project.
Applications from colleges and universities that are not submitted
through an Office of Sponsored Programs (or equivalent thereto) must
provide a statement in the budget narrative verifying that the indirect
costs requested are in accordance with institutional policies.
B. Matching Funds (if required)
(1) Proposals must include written verification of commitments of
matching support (including both cash and in-kind contributions) from
third parties. Written verification means:
(a) For any third party cash contributions, a separate pledge
agreement for each donation, signed by the authorized organizational
representatives of the donor organization and the applicant
organization, which must include: (1) The name, address, and telephone
number of the donor; (2) the name of the applicant organization; (3)
the title of the project for which the donation is made; (4) the dollar
amount of the cash donation; and (5) a statement that the donor will
pay the cash contribution during the grant period; and
(b) For any third party in-kind contributions, a separate pledge
agreement for each contribution, signed by the authorized
organizational representatives of the donor organization and the
applicant organization, which must include: (1) the name, address, and
telephone number of the donor; (2) the name of the applicant
organization; (3) the title of the project for which the donation is
made; (4) a good faith estimate of the current fair market value of the
in-kind contribution; and (5) a statement that the donor will make the
contribution during the grant period.
(2) The sources and amount of all matching support from outside the
applicant institution should be summarized on a separate page and
placed in the proposal immediately following the budget form. All
pledge agreements must be placed in the proposal immediately following
the summary of matching support.
(3) In order to use a cost as matching support, the cost must be
allowable under the program.
c. Budget Narrative: All salaries and wages, nonexpendable
equipment, foreign travel, subcontracts, and ``All Other Direct Costs''
for which support is requested must be individually listed (with costs)
and justified on a separate sheet of paper and placed immediately
behind Form CSREES-55.
[[Page 4391]]
8. Current and Pending Support: All proposals must contain Form
CSREES-663 listing 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.
9. Assurance Statement(s), (Form CSREES-662): A number of
situations encountered in the conduct of projects require special
assurances, supporting documentation, etc., before funding can be
approved for the project. In addition to any other situation that may
exist with regard to a particular project, it is expected that some
applications submitted in response to these guidelines will involve the
following:
1. Recombinant DNA or RNA Research. As stated in 7 CFR Part
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 (``Application for
Funding'') 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.
2. Animal Care. Responsibility for the humane care and treatment of
live vertebrate animals used in any grant project supported with funds
provided by CSREES rests with the performing organization. Where a
project involves the use of living vertebrate animals for experimental
purposes, all key project personnel identified in a proposal and all
endorsing officials of the proposing organization are required to
comply with the applicable provisions of the Animal Welfare Act of
1966, as amended (7 U.S.C. 2131 et seq.) and the regulations
promulgated thereunder by the Secretary in 9 CFR Parts 1, 2, 3, and 4
pertaining to the care, handling, and treatment of these animals. If
your project will involve these animals 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.
3. 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 promulgated by the Department under 7 CFR Part 1c. If you
propose to use human subjects for experimental purposes in your
project, you should check the ``yes'' box in Block 21 of Form CSREES-
661 and complete Section C of Form CSREES-662. In the event a project
involving human subjects results in a grant award, funds will be
released only after the appropriate Institutional Review Board has
approved the project.
10. CRIS Forms AD-416 and AD-417: In order to document projects in
the Current Research Information System's (CRIS) data base, CSREES
requires the submission of the CRIS Forms AD-416 and AD-417 prior to
the release of grant funds. Only one completed copy of each form must
be submitted with the original pen-and-ink copy of the proposal. Fields
1, 19, 20, 21, 28, 29, 30 and ``Duration'' should be left blank, as
these will be completed by CSREES upon award. CSREES will not release
funds for the proposed award until the completed CRIS forms are
received; therefore, prompt action on this requirement is essential for
the initiation of the project.
11. 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
included as the last page of 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, 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.
Part IV. Submission of a Proposal
A. What to Submit
An original and 15 copies must be submitted. Each copy of each
proposal must be stapled in the upper left-hand corner. (DO NOT BIND.)
All copies of the proposal must be submitted in one package.
B. Where and When to Submit
Applications for Planning Grants for FRA Centers must be received
by close of business on March 24, 1997. Standard Project proposals must
be received by close of business on April 28, 1997. Proposals sent by
First Class mail must be sent to the following address:
Proposal Services Unit, Grants Management Branch, Office of Extramural
Programs, USDA/CSREES, STOP 2245, Washington, DC 20250-2245; Telephone:
(202) 401-5048
Note: Hand-delivered proposals or those delivered by overnight
express service should be brought to the following address: Proposal
Services Unit, Grants Management Branch; Office of Extramural
Programs; USDA/CSREES; Room 303, Aerospace Center; 901 D Street,
S.W.; Washington, DC 20024. The telephone number is (202) 401-5048.
C. Acknowledgment of Proposals
The receipt of all proposals will be acknowledged in writing and
this acknowledgment will contain an
[[Page 4392]]
identifying proposal number. Once your proposal has been assigned an
identification number, please cite that number is future
correspondence.
Part V. Selection Process and Evaluation Criteria
A. Selection Process
Each proposal will be evaluated in a two-part process. First, each
proposal will be screened to ensure it meets the requirements as set
forth in this RFP. Proposals that meet these requirements will be
technically evaluated. Each proposal will be judged on its own merits.
B. Technical Evaluation
The review of applications submitted for funding consideration,
will consist of a technical evaluation conducted by CSREES using the
competitive peer review process. Standard Project Grant applications
will receive a technical evaluation using the following criteria:
1. Merit: Scientific, technical, or educational merit: Well defined
problem; clearly defined objectives; appropriateness of approach,
(including selection of proper approach to address systems,
multifaceted, or multidisciplinary problems); demonstrated integration
of components (such as research, education and extension components);
degree of feasibility; soundness and effectiveness of management plan.
2. Quality: Creativity and innovativeness in addressing problem and
issues; selection of most appropriate and qualified individuals to
address problem; competence and experience of personnel; effective
utilization of knowledge base in addressing problem; potential to
contribute solutions to stated problem; identified potential for
technology transfer and information dissemination.
3. Relevance: Proposal advances purposes for Federally supported
research, education, and extension of the 1977 National Agricultural
Research, Extension, and Teaching Policy Act of 1977, as amended (7
U.S.C. 3107); potential to contribute solutions to priority problems in
agriculture; identification and involvement of stakeholders;
involvement of communities of interest and stakeholders in the
identification of problems set forth in proposal; partnership with
those affected by the outcome.
Planning grants for FRA Centers will be judged using the following
criteria;
Merits of the FRA Center concept
Relevance of the future FRA Center to the purposes of The
Fund
Appropriateness of planning activities in assembling a
future FRA Center application
Competence of identified participants
Because planning grant applications will constitute a preliminary plan
for development of a FRA Center, peer review panels will concentrate
their evaluation on the merit and relevance of the conceptual framework
to achieving the goals of The Fund.
C. Programmatic Relevance Review
The National Agricultural Research, Education and Economics
Advisory Board will review collective groups of recommended proposals
(based on technical evaluation) to ensure the relevance of the work
proposed for funding toward achieving the programmatic goals of the
Fund.
Part VI. Supplementary Information
A. Access to Peer Review Information
After final decisions have been announced, CSREES will, upon
request, inform the project director of the reasons for its decision on
a proposal. Copies of summary reviews, not including the identity of
the reviewers, will be made available to respective project directors
upon specific request.
B. Grant Awards
1. General: Within the limit of funds available for such purpose,
the awarding official of CSREES shall make grants to those responsible,
eligible applicants whose proposals are judged most meritorious in the
announced program areas under the evaluation criteria and 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 practicable 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, these application guidelines, 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 prior to the award of a grant identified under these application
guidelines 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 project director(s) chosen to direct
and control approved activities;
d. Identifying grant number assigned by the Department
e. Project period, specifying the amount of time the Department
intends to support the project without requiring recompetition for
funds;
f. Total amount of Departmental financial assistance approved by
the Administrator during the project period;
g. Legal authority(ies) under which the grant is awarded;
h. Approved budget plan for categorizing allocable project funds to
accomplish the stated purpose of the grant award; and
i. Other information or provisions deemed necessary by CSREES to
carry out its respective granting activities or to accomplish the
purpose of a particular grant.
4. Notice of Grant Award: 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.
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. Changes in Project Plans:
a. The permissible changes by the grantee, project director(s), or
other key project personnel in the approved project grant shall be
limited to changes in methodology, techniques, or other aspects of the
project to expedite achievement of the project's approved goals. If the
grantee and/or the project director(s) are uncertain as to whether a
[[Page 4393]]
change complies with this provision, the question must be referred to
the CSREES authorized departmental officer (ADO) for a final
determination.
b. Changes in approved goals, or objectives, shall be requested by
the grantee and approved in writing by the ADO prior to effecting such
changes. In no event shall requests for such changes be approved which
are outside the scope of the original approved project.
c. Changes in approved project leadership or the replacement or
reassignment of other key project personnel shall be requested by the
grantee and approved in writing by the ADO 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 Department prior to effecting such
transfers.
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 approved 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:
(1) Involve transfers of amounts budgeted for indirect costs to
absorb an increase in direct costs;
(2) Involve transfers of amounts budgeted for direct costs to
accommodate changes in indirect cost rates negotiated during a budget
period and not approved when a grant was awarded; or
(3) 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 1.1--USDA implementation of the Freedom of Information
Act.
7 CFR Part 1c--USDA implementation of the Federal Policy for the
Protection of Human Subjects.
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. No. 95-224), as
well as general policy requirements applicable to recipients of
Departmental financial assistance.
7 CFR Part 3017, as amended by 61 Federal Register 250, January 4,
1996--USDA implementation of Governmentwide Debarment and Suspension
(Nonprocurement) and Governmentwide Requirements for Drug-Free
Workplace (Grants).
7 CFR Part 3018--USDA implementation of New 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 3051--USDA implementation of OMB Circular No. A-133
regarding audits of institutions of higher education and other
nonprofit institutions.
7 CFR Part 3407--CSREES procedures to implement the National
Environmental Policy Act of 1969, as amended.
48 CFR Part 31--Contract Cost Principles and Procedures of the
Federal Acquisition Regulation.
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.
Done at Washington, D.C., this 24th day of January, 1997.
B.H. Robinson,
Administrator, Cooperative State Research, Education, and Extension
Service.
[FR Doc. 97-2273 Filed 1-28-97; 8:45 am]
BILLING CODE 3410-22-M
