[Federal Register Volume 62, Number 147 (Thursday, July 31, 1997)]
[Notices]
[Pages 41240-41247]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-20236]
[[Page 41239]]
_______________________________________________________________________
Part V
Department of Agriculture
_______________________________________________________________________
Cooperative State Research, Education, and Extension Service; Notice
Federal Register / Vol. 62, No. 147 / Thursday, July 31, 1997 /
Notices
[[Page 41240]]
=======================================================================
-----------------------------------------------------------------------
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--Rural Information
Infrastructure Program.
-----------------------------------------------------------------------
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 telecommunications 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; Cooperative State Research, Education, and Extension Service;
U.S. Department of Agriculture; STOP 2245; 1400 Independence Avenue,
S.W.; Washington, D.C. 20250-2245; Telephone: (202) 401-5048. When
calling the Proposal Services Unit, please indicate that you are
requesting materials for The Fund for Rural America--Rural Information
Infrastructure 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 for
Rural America--Rural Information Infrastructure Program. The materials
will then be mailed to you (not e-mailed) as quickly as possible.
DATES: Project grant applications must be received on or before
September 29, 1997. Proposals received after September 29, 1997, will
not be considered for funding.
FOR FURTHER INFORMATION CONTACT: Cathy Bridwell, Cooperative State
Research, Education, and Extension Service, U.S. Department of
Agriculture, STOP 2207, 1400 Independence Avenue, SW., Washington, DC
20250-2207; telephone (202) 720-6084.
Table of Contents
Part I. General Information
A. Legislative Authority
B. General Definitions
C. Eligibility
D. Available Funds and Award Limitations
Part II. Program Description
A. Purpose of the Program
B. Scope of Program
C. Proposal Narrative
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. Programmatic 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)), provides $100 million annually for the next
three years. One-third of the fund is available for research,
education, and extension grants. These grants will be awarded on a
competitive basis and are not targeted to specific priorities. One-
third of the fund is available for rural development and must be
administered through existing rural development programs. One-third of
the fund is available either for research, education, and extension or
rural development, or both at the Secretary's discretion. Note that the
Emergency Supplemental Appropriations Act, Pub. L. No. 105-18,
rescinded $20 million of The Fund in Fiscal Year 1997. As a result of
this rescission, research and rural development will each sustain a
reduction of $10 million. The $10 million reduction of the research
component of The Fund will be applied proportionately across all areas
of the component.
On January 29, 1997, the program solicited proposals for two
initiatives: The Fund Core Initiative and The Secretary's Initiative.
The Fund Core Initiative was funded from the one-third of the fund
dedicated to research, education, and extension. The Secretary's
Initiative was funded from the one-third of the fund to be used at the
Secretary's discretion. While the Fund for Rural America--Rural
Information Infrastructure Program also is being funded from the
discretionary funds, it is separate from the solicitation of January
29, 1997.
This portion of the discretionary monies will be used for
telecommunications research to provide the same economic opportunity
for those living in small towns and rural areas as for those living in
cities. To help achieve this goal, approximately $2.1 million in
competitive grants will be awarded through this separate request for
proposals (RFP). If an applicant submitted a proposal to The Fund under
the January 29, 1997, RFP which relates to telecommunications research,
they also may submit the proposal under this RFP so long as the
proposal conforms to the guidelines contained in this RFP.
These funds are to be competitively awarded as grants 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
[[Page 41241]]
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.''
This program has the capability of addressing each of the purposes
through the use of telecommunications; however, the specific purposes
to be addressed is dependent on the funded projects.
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 are applicable:
(1) Administrator means the Administrator of the Cooperative State
Research, Education, and Extension Service (CSREES) and any other
officer or employee of the Department to whom the authority involved
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
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) 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.
(6) Communities of interest means interests which bond individuals
together for the purpose of achieving a common goal. Communities of
interest may coalesce around common locations, commodity or production
interests, environmental concerns, economic development opportunities,
or other shared commitments.
(7) Core initiative means the programs encompassing the one-third
of The Fund designated for research, education, and extension
activities.
(8) Department or USDA means the United States Department of
Agriculture.
(9) End users means the intended audience or beneficiary of the
program or project.
(10) 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
these guidelines.
(11) Grantee means the organization designated in the grant award
document as the responsible legal entity to which a grant is awarded.
(12) The National Information Infrastructure (NII) includes, but is
not limited to, the physical facilities used to transmit, store,
process, and display voice, data, and images, as well as a wide range
and ever-expanding range of equipment including cameras, scanners,
keyboards, telephones, fax machines, computers, switches, compact
disks, video and audio tape, cable, wire, satellites, optical fiber
transmission lines, microwave nets, switches, televisions, monitors,
and printers.
(13) Partners are defined as all those who will collaborate on and
have a substantial role and interest in the project.
(14) 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.
(15) Prior approval means written approval evidencing prior consent
by an authorized departmental officer as defined in (2) above.
(16) 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.
(17) Project means the particular activity within the scope of the
program supported by a grant award.
(18) 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.
(19) Project period means the period, as stated in the award
document and modifications thereto, if any, during which Federal
sponsorship begins and ends.
(20) Secretary means the Secretary of Agriculture and any other
officer or employee of the Department to whom the authority involved
may be delegated.
(21) Secretary's initiative means the programs encompassing the
one-third of The Fund for rural development and/or research, education,
and extension activities according to the Secretary's discretion.
(22) 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).
(23) Stakeholder means those who have a substantial interest in the
project, but are not the intended audience of the program or project.
(24) The Fund means the Fund for Rural America.
[[Page 41242]]
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 rural development and
competitively awarded research, education, and extension grants
according to the Secretary's discretion. Funds for the competitive
grants program are available to the Department for award during a two-
year period. Note that the Emergency Supplemental Appropriations Act,
Pub. L. No. 105-18, rescinded $20 million of The Fund in Fiscal Year
1997. As a result of this rescission, research and rural development
will each sustain a reduction of $10 million. The $10 million reduction
of the research component of The Fund will be applied proportionately
across all areas of the component. The Department expects to award
approximately $2.1 million as grants to meritorious eligible applicants
under this request for proposals (RFP).
Not less than 15 percent of the total funds awarded by CSREES under
The Fund for research, education, and extension activities 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 (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.
Part II. Program Description
A. Purpose of the Program
The ability of rural Americans to access and use rural and
agriculturally based information is critical to ensuring equal
opportunity for economic growth. The purpose of the program is to
examine ways to improve delivery of rural economic, community
development and agricultural knowledge to rural communities in order to
provide the same economic opportunity for those living in small towns
and rural areas as for those living in cities.
B. Scope of the Program
Proposals must address which purposes described in Section 1402 of
the National Agricultural Research, Extension, and Teaching Policy Act
of 1977, as amended (7 U.S.C. 3101) will be incorporated in the
application of the proposed telecommunications. In Fiscal Year 1997,
the Fund for Rural America--Rural Information Infrastructure Program
will support projects in three program categories: (1) Rural
Telecommunications Technologies and Systems; (2) Information
Infrastructure; and (3) Human Capacity Building. Applicants must
clearly state to which category they are applying; each proposal will
be rated against other proposals in that category; and applicants may
not submit identical proposals to more than one category.
1. Rural Telecommunications Technologies and Systems
Applicants may submit a proposal in the Rural Telecommunications
Technologies and Systems category to examine the special needs,
limitations, applicability, and use of existing and cutting-edge
telecommunications technologies and systems in rural America. Proposals
in this category must clearly target the telecommunications
infrastructure needs of rural citizens not currently connected to the
National Information Infrastructure (NII) and must substantiate the
choice of technology in relation to the needs of the rural citizens
targeted by the project. Examples might include, but are not limited
to, application of technology to solve the education needs of a
particular community, or implementation of technology systems to link
citizens to information, two-way interactive communications and/or
formal or non-formal educational opportunities.
2. Information Infrastructure
Applicants may submit a proposal in the Information Infrastructure
category to examine ways to build the information infrastructure to
further the education of rural Americans and to improve access to
research and extension tools/sources. Proposals in this category must
clearly target the development of the informative and educational
content of the NII specifically relating to rural and agricultural
research, education and extension. Proposals must seek to enhance the
applicability and usefulness of this content to rural citizens.
Examples include, but are not limited to, development of interactive
non-formal and formal distance education opportunities and the
digitization and organization of subject matter information for rural
citizens.
3. Human Capacity Building
Applicants may submit a proposal to the Human Capacity category to
examine the interaction among people, technology, and knowledge.
Proposals in this category must clearly target the human interface to
technology, as well as to information and formal and non-formal
education made available through telecommunications. Examples include,
but are not limited to, development of new and more user friendly
applications of the information and the technology and programs
designed to remove barriers to adoption and use of technology by
citizens of rural America.
The Fund for Rural America--Rural Information Infrastructure
Program will not fund the following types of projects:
Hardware or Software Development Projects. While some hardware or
software development may be required to implement a project, it may not
be a major emphasis of any project.
Internal Projects. While some internal training and infrastructure
may be required to implement a project, this program will not support
projects whose primary emphasis is on the internal education,
technology, or information needs of an organization.
Replacement or Upgrade of Existing Facilities. This program will
not support any projects whose primary emphasis is the upgrade or
replacement of existing facilities.
Planning Projects. While planning is an appropriate and encouraged
activity as a component of a project, this program will not support
projects whose sole emphasis is on planning.
C. Proposal Narrative
The narrative should contain the following sections set in the
context of
[[Page 41243]]
the category under which funding is requested:
1. Introduction
Include a clear statement of the goal(s) and objective(s) of the
project. The problem should be set within the context of work that has
been previously done in the category applied for, as well as in the
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 and to the identified need to
be 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
Time table
4. 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.
5. Relationship to Partners, Communities of Interest, Stakeholders, and
End Users
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. Evidence must
be provided via letters by the parties involved 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. 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.
6. Outreach and Dissemination Plan
Clearly describe how results and information will be disseminated
or transferred to end users, partners, communities of interest, and
stakeholders.
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.
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;
Cooperative State Research, Education, and Extension Service; U.S.
Department of Agriculture; STOP 2245; 1400 Independence Avenue, S.W.;
Washington, D.C. 20250-2245; Telephone (202) 401-5048. When calling the
Proposal Services Unit, please indicate that you are requesting forms
for The Fund for Rural America--Rural Information Infrastructure
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--
Telecommunications 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 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
the 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. Application Category
Each proposal must state the category under which funds are
requested (1) Rural Telecommunications Technologies and Systems (2)
Information Infrastructure; or (3) Building Human Capacity.
5. Project Narrative
All proposals are to be submitted on standard 8.5'' x 11'' paper
with typing on one side of the page only. In addition, margins must be
at least one inch, 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
[[Page 41244]]
to prevent loss of meaning through poor quality reproduction. Such
illustrations are not included in the page limitation for project
narratives.
The narrative portion of the proposal is limited to 20 pages of
text and should contain the required information described under
section (c) of Part II. Program Description.
6. 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.
7. 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.
8. 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 and justified.
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 CSREES. In the latter case, if a
proposal is recommended for funding, an indirect cost rate proposal
must be submitted to support the amount of indirect costs requested.
CSREES will request an indirect cost rate proposal and provide
instructions, as necessary.
In that grants supported by The Fund may include numerous
activities other than traditional instruction or research, the
institution may choose to request indirect costs rates that are lower
than the institution approved negotiated research or instructional
rate.
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. 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 following
the budget.
9. 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
[[Page 41245]]
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. NOTE:
This proposal should be identified in the pending section of Form
CSREES-663.
10. Compliance with the National Environmental Policy Act (NEPA)
As outlined in 7 CFR part 3407 (CSREES 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 must be received by September 29, 1997. Proposals sent
by First Class mail must be sent to the following address: Proposal
Services Unit, Grants Management Branch, Office of Extramural Programs,
Cooperative State Research, Education, and Extension Service, STOP
2245, 1400 Independence Avenue, S.W., 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; Cooperative State Research, Education, and Extension
Service; U.S. Department of Agriculture; 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 identifying proposal number. Once
your proposal has been assigned an identification number, that number
should be cited in 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 Criteria
The review of applications submitted for funding consideration will
consist of a technical evaluation conducted by CSREES using the
competitive peer review process. 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 of The Fund for Rural America; 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.
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
[[Page 41246]]
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.
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
change complies with this provision, the question must be referred to
the Authorized Departmental Officer (ADO) for a final determination.
b. Changes in approved goals, or objectives, shall be requested by
the grantee and approved in writing by the ADO prior to effecting such
changes. In no event shall requests be approved for changes 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 prior to effecting such
changes.
d. Transfers of actual performance of the substantive programmatic
work in whole or in part and provisions for payment of funds, whether
or not Federal funds are involved, shall be requested by the grantee
and approved in writing by the ADO prior to effecting such transfers.
e. Changes in Project Period: The project period may be extended by
CSREES without additional financial support, for such additional
period(s) as the ADO determines may be necessary to complete or fulfill
the purposes of an approved project. Any extension of time shall be
conditioned upon prior request by the grantee and approval in writing
by the ADO, unless prescribed otherwise in the terms and conditions of
a grant.
f. Changes in Approved Budget: Changes in an approved budget must
be requested by the grantee and approved in writing by the ADO prior to
instituting such changes if the revision will:
(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 FR 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 No. 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
[[Page 41247]]
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., on this 25th day of July 1997.
Colien Hefferan,
Associate Administrator, Cooperative State Research, Education, and
Extension Service.
[FR Doc. 97-20236 Filed 7-30-97; 8:45 am]
BILLING CODE 3410-22-P
