[Federal Register Volume 59, Number 88 (Monday, May 9, 1994)]
[Unknown Section]
[Page 0]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 94-10883]
[[Page Unknown]]
[Federal Register: May 9, 1994]
VOL. 59, NO. 88
Monday, May 9, 1994
DEPARTMENT OF AGRICULTURE
Rural Development Administration
7 CFR Part 4285
RIN 0537-AA00
Federal-State Research on Cooperatives Program
AGENCY: Rural Development Administration, USDA.
ACTION: Proposed rule.
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SUMMARY: This proposed rulemaking establishes within the Rural
Development Administration (RDA) a matching fund cooperative research
agreement program to State Departments of Agriculture, State
Agricultural Experiment Stations, and other related State Agencies to
conduct marketing research related to cooperatives. This rule
establishes the procedures to be followed annually in the solicitation
of cooperative agreement proposals, the evaluation of such proposals,
and the award of the cooperative agreements under this program. These
rules are necessary to award the funds appropriated to Agricultural
Marketing Service in fiscal year 1994 for research on cooperatives
under the Federal-States Marketing Improvement Program. The intended
effect is to encourage more research at state levels that will enhance
the well-being of agricultural cooperatives and their members.
DATES: Comments are invited from interested individuals and
organizations and must be received on or before June 8, 1994.
ADDRESSES: Submit written comments, in duplicate, to the Office of the
Chief, Regulations Analysis and Control Branch, Farmers Home
Administration, USDA, room 6348, South Agriculture Building, 14th
Street and Independence Avenue SW., Washington, DC 20250. All written
comments made pursuant to this notice will be available for public
inspection during regular work hours at the above address.
FOR FURTHER INFORMATION CONTACT: Dr. Thomas H. Stafford, Director,
Cooperative Marketing Division, Cooperative Services, Rural Development
Administration, USDA, Ag Box 3252, Washington, DC 20250-3252, Phone:
202-690-0368.
SUPPLEMENTARY INFORMATION:
Classification
This rule has been determined to be not-significant for purposes of
Executive Order 12866 and therefore has not been reviewed by OMB.
Paperwork Reduction Act
The information collection or recordkeeping requirements contained
in this regulation will be submitted for approval by the Office of
Management and Budget (OMB) under the provision of 44 U.S.C. chapter 35
and will be assigned an OMB control number in accordance with the
Paperwork Reduction Act of 1980 (44 U.S.C. 3507). Public reporting
burden for this collection of information is estimated to vary from 10
minutes to 36 hours per response with an average of 3.48 hours per
response, including the time for reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Please send
written comments to the Office of Information and Regulatory Affairs,
OMB, Attention: Desk Officer for USDA, Washington, DC 20503. Please
send a copy of your comments to Jack Holston, Agency Clearance Officer,
USDA, RDA, Ag Box 0743, Washington, DC 20250.
Regulatory Flexibility Act
In compliance with the Regulatory Flexibility Act (5 U.S.C. 601-
612), the undersigned has determined and certified by signature of this
document that this rule will not have a significant economic impact on
a substantial number of small entities.
Environmental Impact Statement
This proposed regulation does not significantly affect the
environment. Therefore, an environmental impact statement is not
required under the National Environmental Policy Act of 1969, as
amended (42 U.S.C. 4321 et seq.).
Intergovernmental Review
This program is considered a part of ``Technical Assistance To
Cooperatives'' as listed as No. 10.350 in the ``Catalog of Federal
Domestic Assistance''. For reasons set forth in the Final Rule-related
Notice to 7 CFR part 3015, subpart V (48 FR 29115, June 24, 1983), this
program is excluded from the scope of Executive Order No. 12372 which
requires intergovernmental consultation with State and local officials.
Civil Justice Reform
This document has been reviewed in accordance with Executive Order
(E.O.) 12778. It is the determination of RDA that this action does not
unduly burden the Federal Court System in that it meets all applicable
standards provided in section 2 of the Executive Order.
Discussion of Proposed Rule
It is the policy of this Department that rules relating to public
property, loans, grants, benefits, or contracts shall be published for
comment not withstanding the exemption of 5 U.S.C. 553 with respect to
such rules. While Executive Order 12866 recommends at least a 60-day
comment period for most proposed rules, the agency has determined that
30 days is sufficient in this case. The 30-day period meets
Administrative Procedures Act requirements. The FY 1994 appropriations
for this program also must be obligated before September 30, 1994;
therefore, a 30-day comment period is desired to allow research
proposals to be developed in time for cooperative agreements to be
awarded within the fiscal year. Furthermore, the procedures set out in
the proposed rule are similar to other USDA cooperative agreement
procedures and, therefore, are unlikely to elicit adverse comments.
Only $435,000 was appropriated for this program for FY 1994 and may
not be appropriated in subsequent years. However, it is the Agency's
expectation that funds will be appropriated for this program either as
a separate item or as part of the general appropriations for the Agency
in future years. Therefore, this proposed rule establishes the
guidelines for administering the program for future years.
The Federal-State Research on Cooperatives Program (FSROC) is
authorized under section 204(b) of the Agricultural Marketing Act of
1946 (7 U.S.C. 1623 (b)). The Agricultural Appropriations Act for 1994
specifically appropriated funds to Agricultural Marketing Service
(AMS), USDA to be used as a matching fund program designed to provide
assistance to State Departments of Agriculture and State Agricultural
Experiment Stations in conducting research related to agricultural
cooperatives. In order to use the cooperative expertise available only
in RDA, these funds, appropriated as part of the Federal-State
Marketing Improvement Program (FSMIP), have been transferred to the
Rural Development Administration, Cooperative Services (RDA-CS) to
administer. Previous funding for a similar program in Agricultural
Cooperative Service which has become RDA-CS was done on a
noncompetitive basis with Land-Grant Universities. It was the apparent
intent of Congress to have funds available for research on cooperatives
on the same basis as funds used in AMS's FSMIP. Since FSMIP has been an
effective program that has evolved since its authorization in 1946, it
is apparent that the procedures developed at AMS should be closely
mirrored in this new program with a cooperative content.
Under the proposed FSROC, RDA will solicit State Departments of
Agriculture, State bureaus and departments of markets, State
Agricultural Experiment Stations, and other appropriate State agencies
to submit research proposals to be funded on a competitive basis. The
solicitation will include broad areas of research that the Agency
wishes to emphasize so that the limited funds may more likely result in
research being done in the areas determined by the RDA staff to be high
priority. However, these areas of emphasis (Sec. 4285.58(b)(1)(v)) do
not restrict the submission of proposed projects that will be
considered if they meet the purposes of agricultural marketing as given
in the Agricultural Marketing Act of 1946 (7 U.S.C. 1623).
Section 204 (b) of the Agricultural Marketing Act of 1946 (7 U.S.C.
1623 (b)) restricts the funds for this program to be used on a
cooperative basis with State Departments of Agriculture, State bureaus
and departments of markets, State Agricultural Experiment Stations, and
other appropriate State agencies. Since these funds are specifically
for research related to agricultural marketing, it is the Agency's
interpretation that the other appropriate State agencies are primarily
1862 and 1890 Land Grant Colleges, since they conduct research related
to agricultural marketing. USDA's OGC will make a determination if a
particular college or university legally qualifies as a State agencies.
Other State agencies would be considered appropriate if they have the
ability and reason to conduct research related to cooperatives and to
agricultural marketing.
In addition to the statutes' requirement that the funds go to a
State agency, RDA is proposing limiting it to those Agencies that have
financial, legal, administrative and actual capacity to conduct the
research. The necessity of fiscal responsibility requires RDA to only
provide cooperative funds to those Agencies that also have the fiscal
and administrative ability to assure that the funds are expended
according to the purposes of the Agricultural Marketing Act of 1946.
Further, the Agricultural Marketing Act of 1946 requires that no
funds shall be allotted for any fiscal year to any State agency in
excess of the amount which such State agency makes available out of its
own funds for such research. RDA has interpreted this to mean the use
of cooperative agreements with the States agency providing at least
half of the funds for conducting the research on cooperatives. In
addition, RDA is limiting the funds to use by Agencies that can legally
and administratively conduct business with cooperative agreements since
it has determined that cooperative agreements are the appropriate
instrument to use for these funds.
The research proposals will be evaluated by a panel of Agency
technical experts to determine the proposals that are likely to result
in the most needed research that can be done with the limited funds
appropriated. The evaluation panel will make recommendations to the
Assistant Administrator for Cooperative Services, RDA who will have the
final decision on awarding the cooperative agreements. The panel of
Agency technical experts are necessary to evaluate what is expected to
be a variety of very technical proposals dealing with agricultural
marketing research and cooperatives. An outside peer review panel is
not being proposed because the Agency has the expertise to evaluate
such proposals, the outside panel would be extremely costly relative to
the small amount of total funds available, and the need to evaluate the
proposals in a timely manner.
To assure a consistency in the evaluation process the proposed rule
establishes a set of evaluation criteria (Sec. 4285.70) to assure the
research is consistent with the intent of the program and is worth the
funds that are to be spent on the project. The heaviest weight of the
objective criteria is placed on assuring that the research is based on
significant problems to assure that funds are not expended on
insignificant items nor in other fiscally irresponsible ways. The
second highest weight of the criteria is placed on the adequacy,
soundness, and appropriateness of the proposed approach to the research
in order that research is conducted that will be meaningful. The
relatively low weight put on the criteria of the feasibility and
probability of success of solving the problem was done because nearly
all projects are expected to be feasible and it is extremely difficult
to determine the likely success or failure of projects, but at the same
time the Agency's technical experience can be used to predict
approaches or problems that are not likely to give the desired results.
The relatively heavy weight placed on the personnel that are conducting
the research was done to assure that the best equipped and qualified to
conduct the research are selected as required by the Agricultural
Marketing Act of 1946 (7 U.S.C. 1623 (b)). Although cost is a
significant factor, no specific weight is assigned to the cost since
cost must be measured relative to the complexity of the problem, the
likely outcome of the project, the significance of the problem
identified, and relative to other proposals and the total appropriated
funds.
Upon recommendations of the technical panel, the Assistant
Administrator for Cooperative Services will determine which cooperative
agreements to fund. The Assistant Administrator for Cooperative
Services will also determine the reasonable length of time in which the
project should be completed. To assure timely research results the
agreements will be limited to three years from the time of the award.
However, if justified, that time can be renewed, but the total time
would be limited to 4 fiscal years so as to allow orderly closing of
the financial records of the Federal Government.
The accounting for the funds awarded for the cooperative agreement
will be subject to the normal rules for cooperative agreements within
USDA as given in part 3016 of this title. The proposed application
format is used to assure that sufficient information is obtained to
complete a cooperative agreement as given in part 3016 of this title.
In addition, the application format is similar to that used by
Cooperative State Research Service, USDA for their competitive grants
programs as given in Part 3200 of this title, since that format appears
to be very effective in helping assure projects that will be carried
out in a fiscally responsible manner.
The definition of agricultural products given below is repeated
from the Agricultural Marketing Act of 1946 (7 U.S.C. 1623 (b)). The
cooperative agreement instrument is as defined in the Implementation of
Federal Grant and Cooperative Agreement Act of 1977 (Pub.L. 95-224).
The proposed classification of the cooperative agreements as new,
renewal, or supplemental are used to facilitate administering the
agreements. The authorized and prohibited uses of cooperative
agreements funds given below (Sec. 4285.25 and Sec. 4285.46) are to
clarify the uses of funds as given in the Agricultural Marketing Act of
1946 (7 U.S.C. 1623 (b)) and follow the guidelines as used by the AMS
FSMIP. Because research requires doing things that may not be known
before the agreement is signed, the proposed rule allows for changes in
the cooperative agreement. To assure the cooperative agreement stays in
line with the intent of the program, however, all substantive changes
are required to be approved by the Assistant Administrator for
Cooperative Services.
List of Subjects in 7 CFR Part 4285
Agricultural commodities, Agricultural research, Cooperatives,
Reporting and recordkeeping requirements.
For the reasons set out in the preamble, 7 CFR Ch. XLII is proposed
to be amended by adding part 4285 to read as follows:
PART 4285--COOPERATIVE AGREEMENTS
Subpart A--Federal-State Research on Cooperatives Program
Sec.
4285.1 Objective.
4285.2 Cooperative agreement purposes.
4285.3 Definitions.
4285.4-4285.23 [Reserved]
4285.24 Eligibility.
4285.25 Authorized use of cooperative agreement funds.
4285.26-4285.45 [Reserved]
4285.46 Prohibited use of cooperative agreement funds.
4285.47 Limitations.
4285.48-4285.57 [Reserved]
4285.58 How to apply for cooperative agreement funds.
4285.59-4285.68 [Reserved]
4285.69 Evaluation and disposition of applications.
4285.70 Evaluation criteria.
4285.71-4285.80 [Reserved]
4285.81 Cooperative agreement awards.
4285.82 Use of funds; changes.
4285.83-4285.92 [Reserved]
4285.93 Other Federal statutes and regulations that apply.
4285.94 Other conditions.
4285.95-4285.100 [Reserved]
Authority: 7 U.S.C. 1623, 2201; Pub. L. 103-111, 107 Stat. 1046;
Pub. L. 103-211, 108 Stat. 3; USDA Secretary's Memorandum 1020-39,
dated September 30, 1993.
Subpart A--Federal-State Research on Cooperatives Program
Sec. 4285.1 Objective.
This subpart sets forth the policies and procedures and delegates
authority for providing Federal-State Research on Cooperatives
cooperative agreement funds to finance programs of research on
cooperatives as authorized under Section 204 (b) of the Agricultural
Marketing Act of 1946 (7 U.S.C. 1623 (b)). The primary purpose of this
matching fund program, via cooperative agreements, is to encourage
State Departments of Agriculture and State Agricultural Experiment
Stations in conducting research related to agricultural cooperatives.
Sec. 4285.2 Cooperative agreement purposes.
Rural Development Administration (RDA) may enter into a cooperative
agreement with a State agency to provide funds to the State agency to:
(a) Conduct marketing research related to agricultural
cooperatives.
(b) Assist other organizations in conducting marketing research
related to agricultural cooperatives.
Sec. 4285.3 Definitions.
As used in this part:
Agreement period. The total period of time approved by the
Assistant Administrator for Cooperative Services for conducting the
proposed project as outlined in an approved application. The time
period is normally no more than 3 years, renewable for cause not to
exceed a total of 4 fiscal years.
Agricultural products. Agricultural products include agricultural,
horticultural, viticultural, and dairy products, livestock and poultry,
bees, forest products, fish and shellfish, and any products thereof,
including processed or manufactured products, and any and all products
raised or produced on farms and any processed or manufactured product
thereof.
Assistant Administrator for Cooperative Services. The Assistant
Administrator for Cooperative Services, Rural Development
Administration, USDA or any authorized delegate.
Awarding official. The Assistant Administrator for Cooperative
Services or authorized delegate.
Cooperative Agreement. A legal instrument reflecting a relationship
between the United States Government and a State where:
(1) The principal purpose of the relationship is the transfer of
money, property, services, or anything of value to the State agency to
carry out research related to cooperatives; and
(2) Substantial involvement is anticipated between RDA, acting for
the Federal Government, and the State or other recipient during
performance of the research in the agreement.
Cooperator. The State agency designated in the cooperative
agreement award document as the responsible legal entity to whom a
cooperative agreement is awarded under this part.
Department. The U.S. Department of Agriculture.
Methodology. The research approach to be followed to carry out the
project.
Principal investigator. A single individual who is responsible for
the scientific and technical direction of the project, as designated by
the cooperator in the cooperative agreement application and approved by
the Assistant Administrator for Cooperative Services.
Project. The particular activity within the scope of one or more of
the research program areas identified in the annual program
solicitation that is supported by a cooperative agreement under this
part.
State agencies. State agencies include, among others, State
Agricultural Experiment Stations and State Departments of Agriculture
in the 50 States, territories or possessions of the United States and
other appropriate State agencies. Final determination of whether
certain 1890 or 1862 Land Grant institutions qualify as state agencies
will be determined on a case-by-case basis by the Office of the General
Counsel (OGC), USDA.
Secs. 4285.4-4285.23 [Reserved]
Sec. 4285.24 Eligibility.
To enter into a cooperative agreement for these funds, the
applicant must:
(a) Be a State Agency as defined in Sec. 4285.3;
(b) Have the financial, legal, administrative, and actual capacity
to assume and carry out the responsibilities imposed by the Agreement.
To meet the requirement of actual capacity it must either:
(1) Have necessary background and experience with proven ability to
perform responsibly in the field of economic, business management, or
other needed research area; or
(2) Have the necessary administrative and supervisory controls in
place to assure an agreed upon contracting organization has the proven
ability to perform responsibly in the field of economic, business
management, or other needed research area;
(c) Legally obligate itself to administer cooperative agreement
funds, provide adequate accounting of the expenditure of such funds,
and comply with the cooperative agreement;
(d) Provide at least 50 percent of the funds necessary to conduct
the research from non-federal funds; and
(e) Agree to conduct proposed research related to cooperatives and
agricultural marketing.
Sec. 4285.25 Authorized use of cooperative agreement funds.
Funds received for research under cooperative agreements in this
program shall only be used for:
(a) Payment of salaries and necessary employee benefits of
personnel as agreed upon in the Cooperative Agreement. Included are
salaries and benefits of State employees assigned full-time to one or
more projects, or the percent of the salaries and benefits related to
project work for State employees assigned part-time to research on one
or more projects. Salaries and benefits include basic salary, other
compensation such as holiday pay, sick or annual leave, and personnel
benefits (quarters allowance, payments to other funds such as
employees' life insurance, health benefits, retirement, Federal
Insurance Contributions Act (FICA), accident compensation, and similar
payments). For any of the benefit items when the State usually pays the
employer share, Federal funds may be used to pay the proportionate
share of such employer contributions.
(b) Payment of necessary and reasonable office expenses such as
office rental, office utilities, and office equipment rental. The
purchase of office equipment is permissible when the cooperator
determines it to be more economical than renting. However, as a general
rule, these types of expenses would be classified as indirect costs in
multiple funded organizations and would not be an allowable expense.
Planned purchases of equipment costing more than $200 per unit must be
approved by RDA. Equipment purchased becomes State property pursuant to
the cooperative agreement.
(c) Payment of necessary and reasonable costs of printing
publications of research project results. However, all such
publications should show the RDA as cooperator in the project and bear
the following statement: ``State funds for this project (publication)
were matched with Federal funds under the Federal-State Research on
Cooperatives Program of the U.S. Department of Agriculture, Rural
Development Administration, Cooperative Services, as provided by the
Agricultural Marketing Act of 1946 and (appropriate) fiscal year
appropriations.''
(d) Purchase of office supplies (such as paper, pens, pencils, and
trade magazines) and postage needed for project activities.
(e) Payment of necessary and reasonable travel expenses.
Secs. 4285.26-4285.45 [Reserved]
Sec. 4285.46 Prohibited use of cooperative agreement funds.
(a) The Agricultural Marketing Act prohibits the use of Federal
funds to pay for newspaper or periodical space and radio and television
time, either directly to the media or indirectly though an advertising
agency or other firm. County and State fair exhibits, as well as
commodity months and weeks, are also excluded as the research on
cooperatives program activities.
(b) Federal funds cannot be used to purchase products or samples of
products to give away to the public.
(c) Federal program funds cannot be used to purchase:
(1) Promotional pieces such as point-of-sale materials, promotional
kits, billboard space and signs, streamers, automobile stickers, table
tents, and placemats; or
(2) Promotion items of a personal gift nature.
(d) Cooperative agreement funds cannot be used to conduct general
publicity or information programs designed to build the image of the
State's agriculture or of a particular State Department of Agriculture
or Agricultural Experiment Station.
(e) Project funds cannot be used to pay for the salary and travel
of employees of cooperatives, trade associations, commodity groups, and
other industry organizations, or of State personnel while engaged in
managing market orders, cooperatives, or other group endeavors.
(f) Commissioners, Directors, and Secretaries of State Departments
of Agriculture, Agricultural Experiment Stations, and other State
agencies cannot charge their salaries and travel to project funds, with
the exception of travel to workshops or conferences devoted to the
Federal-State Research On Cooperatives Program.
(g) Funds made available for this program shall not be subject to
reduction for indirect costs or for tuition remission.
Sec. 4285.47 Limitations.
The amount of funds available for the cooperative agreements under
this program is limited to the amount appropriated for the fiscal year.
Secs. 4285.48-4285.57 [Reserved]
Sec. 4285.58 How to apply for cooperative agreement funds.
(a) A program solicitation will be prepared and announced through
publications such as the Federal Register, professional trade journals,
agency or program handbooks, and/or any other appropriate means, as
early as practicable each fiscal year in which funds are appropriated
for the program.
(b) The annual program solicitation will contain information
sufficient to enable all eligible applicants to prepare proposals
including:
(1) Desired research topics. The FY-94 solicitation will encourage
studies:
(i) To improve the efficiency and effectiveness of marketing of
agricultural cooperatives;
(ii) To measure the impact of rural cooperatives on the local
economies;
(iii) That help identify opportunities to develop cooperatives for
new or alternative market uses of agricultural products;
(iv) That help identify ways to develop agricultural marketing
cooperatives; and,
(v) Addressing other cooperative marketing objectives;
(2) Explanation of eligibility requirements as outlined in
Sec. 4285.24;
(3) The notice of availability of application forms and
instructions for submission of applications;
(4) The notice of deadline dates for postmarking proposal packages;
(c) Executive Order 12372. The cooperative agreements for research
related to cooperatives are subject to the provisions of Executive
Order 12372 (3 CFR, 1982 Comp., p. 197), which allows States to review
all its applications for funds and/or actions under specific Federal
programs. Most of the States have designated a ``Single Point of
Contact'' within the State for the listed programs and have established
a procedure to handle applications. If the State has adopted this
procedure, Section 16 of the Standard Form 424, ``Application for
Federal Assistance,'' needs to be completed when applying for the
cooperative agreement funds under this part.
(d) Format for proposals. Unless otherwise indicated by the
Department in the annual program solicitation, the following
information must be submitted for the preparation of proposals under
this program:
(1) Form SF-424, ``Application for Federal Assistance.''
(2) Form SF-424A, ``Budget Information - Non-Construction
Programs.''
(3) Form SF-424B, ``Assurances - Non-Construction Programs.''
(4) Statement of Work. The application must include a narrative
statement describing the nature of the proposed research. The Statement
of Work must include at least the following:
(i) Title of the Project. The title of the proposal must be brief,
yet represent the major thrust of the project.
(ii) Project Leaders. List the name(s) of the principal
investigator(s). Minor collaborators or consultants should be so
designated and not listed as principal investigators.
(iii) Need for the Project. A concisely worded rationale behind the
proposed research must be presented. The need for the proposed research
must be clearly related to marketing and to the needs of agricultural
cooperatives.
(iv) Objectives of the project. The specific description of the
overall project goal(s) and supporting objectives must be presented.
(v) Procedures for conducting the research. The hypotheses or
questions being asked and the methodology being applied to the proposed
project must be described. A description of any subcontracting
arrangements that will be used for conducting the research must be
included. A tentative schedule for conducting major steps involved in
the investigation must also be included.
(vi) The expected output of the project. A description of how the
results of the research will be disseminated should be presented.
Responsibility for publishing any research reports or other types of
output should also be identified.
(5) Collaborative arrangements. If the nature of the proposed
project requires collaboration or subcontractual arrangements with
other research scientists, corporations, organizations, agencies, or
entities, the applicant must identify the collaborator(s) and provide a
full explanation of the nature of the collaboration. Evidence (i.e.,
letters of intent) should be provided to assure reviewers that the
collaborators involved have agreed to render this service. In addition,
the proposal must indicate whether or not such a collaborative
arrangement(s) has the potential for conflict(s) of interest.
(6) Personnel support. To assist reviewers in assessing the
competence and experience of the proposed project staff, key personnel
who will be involved in the proposed project must be identified
clearly. For each principal investigator involved, and for all senior
associates and other professional personnel who expect to work on the
project, whether or not funds are sought for their support, the
following must be included:
(i) An estimate of the time commitments necessary;
(ii) Curriculum Vitae. The curriculum vitae should be limited to a
presentation of academic and research credentials, e.g., educational,
employment and professional history, and honors and awards. Unless
pertinent to the project, it should not include meetings attended,
seminars given, or personal data such as birth date, martial status, or
community activities; and
(iii) Publication List(s). A chronological list of all publications
in refereed journals during the past five years, including those in
press, must be provided for each professional project member for whom a
curriculum vitae is provided. Also list other non-refereed technical
publications that have relevance to the proposed project. Authors
should be listed in the same order as they appear on each paper cited,
along with the title and complete reference as these usually appear in
journals.
Secs. 4285.59-4285.68 [Reserved]
Sec. 4285.69 Evaluation and disposition of applications.
(a) Evaluation. (1) All proposals received from eligible applicants
and postmarked in accordance with deadlines established in the annual
program solicitation shall be evaluated by the Assistant Administrator
for Cooperative Services through an RDA staff panel. The Assistant
Administrator for Cooperative Services will select the evaluation panel
from staff determined to be highly qualified in the subject matter
areas that were emphasized in the current year's solicitation and from
those with no potential conflict of interest with the applicants.
(2) Prior to technical examination, a preliminary review will be
made for responsiveness to the program solicitation (e.g., relationship
of proposal to research topic(s) listed in solicitation). Proposals
that do not fall within the guidelines as stated in the program
solicitation will be eliminated from competition and will be returned
to the applicant.
(3) Proposals will be ranked based on evaluation criteria
established in Sec. 4285.70 and financial support levels will be
recommended to the Assistant Administrator for Cooperative Services by
the panel within the limitation of the total funding available in the
fiscal year. The purpose of these evaluations is to provide information
upon which the Assistant Administrator for Cooperative Services may
make informed judgements in selecting proposals. Such recommendations
are advisory only and are not binding on the awarding official of RDA.
To ensure a comprehensive evaluation, all applications should be
written with the care and thoroughness accorded papers for publication.
(b) Disposition. (1) On the basis of the Assistant Administrator
for Cooperative Services's evaluation of an application in accordance
with paragraph (a) of this section, the Assistant Administrator for
Cooperative Services will either:
(i) Approve support using currently available funds;
(ii) Defer support due to lack of funds or need for further
evaluation; or
(iii) Disapprove support for the proposed project in whole or in
part.
(2) With respect to any approved project, the Assistant
Administrator for Cooperative Services will determine the project
period during which the project may be funded.
(3) Any deferral or disapproval of an application will not preclude
its reconsideration or reapplication during subsequent fiscal years.
However, applicants must reapply if reconsideration is desired.
(4) The Assistant Administrator for Cooperative Services will not
make a cooperative agreement funding award, based upon an application
covered by this part, unless the application has been properly reviewed
in accordance with the provisions of this part and unless said
reviewers have made recommendations concerning the scientific merit and
relevance to the program of such application.
Sec. 4285.70 Evaluation criteria.
(a) In evaluating the proposal, the RDA staff review panel and the
awarding official will take into account the degree to which the
proposal demonstrates the following:
(1) Focus on a practical solution to a significant problem
involving one or more of the following on a cooperative business basis:
the preparation for market, processing, packaging, handling, storing,
transporting, distributing, or marketing of agricultural products.
(35%)
(2) Adequacy, soundness, and appropriateness of the proposed
approach to solve the identified problem. (30%)
(3) Feasibility and probability of success of project solving the
problem. (10%)
(4) Qualifications, experience in related work, competence, and
availability of project personnel to direct and carry out the project.
(25%)
(b) In addition, the cost relative to the expected research results
will be considered in determining the awarding of the agreements.
Secs. 4285.71-4285.80 [Reserved]
Sec. 4285.81 Cooperative agreement awards.
(a) General. Within the limit of funds available for such purpose,
the awarding official shall make awards for cooperative agreements to
those applicants whose proposals are judged most meritorious in the
announced program areas under the evaluation criteria and procedures
set forth in this part. The date specified by the Assistant
Administrator for Cooperative Services as the beginning of the project
period shall be no later than September 30 of the Federal fiscal year
in which the project is approved and funds are appropriated for such
purpose, unless otherwise permitted by law. All funds awarded under
this part shall be expended solely in accordance with the methods
identified in approved application and budget, the regulations of this
part, the terms and conditions of the award, the applicable Federal
cost principles, and the Department's ``Uniform Federal Assistance
Regulations'' (part 3015 of this title) and the Department's ``Uniform
Administrative Requirements for Grants and Cooperative Agreements to
State and Local Governments'' (part 3016 of this title).
(b) Cooperative agreement award document and notice of award--(1)
Cooperative agreement award document. The award document shall include
at a minimum the following:
(i) Legal name and address of performing organization or
institution to whom the Assistant Administrator for Cooperative
Services has competitively awarded funds under the terms of this part;
(ii) Title of project;
(iii) Name(s) and address(es) of principal investigator(s) chosen
to direct and control approved activities;
(iv) Identifying cooperative agreement number assigned by RDA;
(v) Project period, specifying the amount of time the Agency
intends to support the project without requiring recompetition for
funds;
(vi) Total amount of Agency financial assistance approved by the
Assistant Administrator for Cooperative Services during the project
period;
(vii) Legal authority(ies) under which the cooperative agreement is
awarded;
(viii) Approved budget plan for categorizing allocable project
funds to accomplish the stated purpose of the cooperative agreement
award; and
(ix) Other information or provisions deemed necessary by RDA to
carry out its agreement activities or to accomplish the purpose of a
particular cooperative agreement.
(2) Notice of award. The notice of award of funds for the
cooperative agreement will be in the form of a letter providing
pertinent instructions or information to the cooperator.
(c) Types of cooperative agreement instruments. The types of
cooperative agreements shall be as follows:
(1) New agreement. This is an agreement instrument by which RDA
agrees to support a specified level of effort for a project not
supported previously under this program. This type of agreement is
approved on the basis of an RDA Staff evaluation review and
recommendation.
(2) Renewal agreement. This is an agreement instrument by which RDA
agrees to provide additional funding for a project beyond the period
approved in an original or amended agreement, provided that the
cumulative period does not exceed the statutory limitation. When a
renewal application is submitted, it must include a summary of progress
to date from the previous agreement period. A renewal agreement shall
be based upon new application, de novo review and staff evaluation, new
recommendation and approval, and a new award instrument.
(3) Supplemental agreement. This is an instrument by which RDA
agrees to provide small amounts of additional funding under a new or
renewal cooperative agreement as specified in paragraphs (c)(1) and
(c)(2) of this section and may involve a short-term (usually one year
or less) extension of the project period beyond that approved in an
original or amended award, but in no case may the cumulative period for
the project exceed the statutory limitation. A supplement is awarded
only if required to assure adequate completion of the original scope of
work and if there is sufficient justification to warrant such action. A
request of this nature will not require additional review.
(d) Obligation of the Federal Government. The approval of any
application or the award of any funds for a cooperative agreement shall
not commit nor obligate the United States in any way to make any
renewal, supplemental, continuation, or other award with respect to any
approved application or portion of an approved application.
(e) Obligation of the cooperator. The cooperator shall be
responsible for:
(1) Making a brief quarterly progress reports at the end of each
December, March, June and September to the FSROC program staff for the
duration of the research project;
(2) Presenting a final administrative report on the project at the
end of the research project; and
(3) Preparing and publishing a report(s) of research findings for
dissemination to interested producers, cooperatives, and agencies.
Include recognition to financial and other assistance received from the
FSROC program.
Sec. 4285.82 Use of funds; changes.
(a) Delegation of fiscal responsibility. The cooperator may not, in
whole or in part, delegate or transfer to another person, institution,
or organization the responsibility for use or expenditure of
cooperative agreement funds.
(b) Change in project plans. (1) The permissible changes by the
cooperator, principal investigator(s), or other key project personnel
in the approved cooperative agreement 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 cooperator and/or
the principal investigator(s) is uncertain whether a particular change
complies with this provision, the question must be referred to the
Assistant Administrator for Cooperative Services for a final
determination.
(2) Changes in approved goals, or objectives, shall be requested by
cooperator and approved in writing by the Assistant Administrator for
Cooperative Services, or authorized delegate, prior to effecting such
changes. Normally, no requests for such changes outside the scope of
the original approved project will be approved.
(3) Changes in approved project leadership or the replacement or
realignment of other key project personnel shall be requested by the
cooperator and approved in writing by the Assistant Administrator for
Cooperative Services, or authorized delegate, prior to effecting such
changes.
(4) 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 cooperator
and approved in writing by the Assistant Administrator for Cooperative
Services, or authorized delegate, prior to effecting such changes,
except as may be allowed in the terms and conditions of a cooperative
agreement award.
(c) Changes in project period. The project period determined
pursuant to Sec. 4285.81(b) may be extended by the Assistant
Administrator for Cooperative Services without additional financial
support, for such additional period(s) as the Assistant Administrator
for Cooperative Services determines may be necessary to complete, or
fulfill the purposes of, an approved project. Any extension, when
combined with the originally approved or amended project period, shall
not exceed four (4) years and shall be further conditioned upon prior
request by the cooperator and approval in writing by the Assistant
Administrator for Cooperative Services, or authorized delegate, except
as may be allowed in the terms and conditions of a cooperative
agreement award.
(d) Changes in approved budget. The terms and conditions of a
cooperative agreement will prescribe circumstances under which written
Agency approval must be requested and obtained prior to instituting
changes in an approved budget.
Secs. 4285.83-4285.92 [Reserved]
Sec. 4285.93 Other Federal statutes and regulations that apply.
Several other Federal statutes and regulations apply to cooperative
agreement proposals considered for review or to agreements awarded
under this part. These include but are not limited to:
(a) 7 CFR Part 1, Subpart A--USDA implementation of the Freedom of
Information Act;
(b) 7 CFR Part 3--USDA implementation of OMB Circular A-129
regarding debt collection;
(c) 7 CFR Part 15, Subpart A--USDA implementation of title VI of
the Civil Rights Act of 1964 in order to assure nondiscrimination;
(d) 7 CFR Part 1473--National Agricultural, Research, Extension,
and Teaching Policy Act Amendments of 1981 if the project involves a
college or university;
(e) 7 CFR Part 3015--USDA Uniform Federal Assistance Regulations
implementing OMB directives (i.e., Circular Nos. A-110, A-21, and A-
122) and incorporating provisions of 31 U.S.C. 6301-6308 (formerly, the
Federal Grant and Cooperative Agreement Act of 1977, Pub. L. 95-224, 92
Stat. 3), as well as general policy requirements applicable to
recipients of Departmental financial assistance;
(f) 7 CFR Part 3016--USDA Uniform Administrative Requirements for
Grants and Cooperative Agreements to State and Local Governments;
(g) 7 CFR Part 3017--USDA implementation of Governmentwide
Debarment and Suspension (Nonprocurement) and Governmentwide
Requirements for Drug-Free Workplace (Grants);
(h) 7 CFR Part 3018--USDA implementation of New Restrictions on
Lobbying. Imposes new prohibitions and requirements for disclosure and
certification related to lobbying on recipients of Federal contracts,
grants, cooperative agreements, and loans;
(i) 7 CFR Part 3051--Audits of Institutions of Higher Education and
Other Nonprofit Institutions;
(j) 29 U.S.C. 794, section 504--Rehabilitation Act of 1973, and 7
CFR Part 15B prohibiting discrimination based upon physical or mental
handicap in Federally assisted programs;
(k) 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).
Sec. 4285.94 Other conditions.
Post-award requirements. Upon awarding the cooperative agreement,
the post-award requirements of subparts C and D of part 3016 of this
title apply.
Secs. 4285.95--4285.100 [Reserved]
Dated: March 28, 1994.
Bob J. Nash,
Under Secretary for Small Community and Rural Development.
[FR Doc. 94-10883 Filed 5-6-94; 8:45 am]
BILLING CODE 3410-07-W
