[Federal Register Volume 62, Number 140 (Tuesday, July 22, 1997)]
[Rules and Regulations]
[Pages 39316-39327]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-19027]
[[Page 39315]]
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Part II
Department of Agriculture
_______________________________________________________________________
Cooperative State Research, Education, and Extension Service
_______________________________________________________________________
7 CFR Part 3405
Higher Education Challenge Grants Program; Administrative Provisions;
Final Rule
Federal Register / Vol. 62, No. 140 / Tuesday, July 22, 1997 / Rules
and Regulations
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DEPARTMENT OF AGRICULTURE
Cooperative State Research, Education, and Extension Service
7 CFR Part 3405
RIN 0524-AA02
Higher Education Challenge Grants Program; Administrative
Provisions
AGENCY: Cooperative State Research, Education, and Extension Service,
USDA.
ACTION: Final rule.
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SUMMARY: The Cooperative State Research, Education, and Extension
Service (CSREES) adds a new part 3405 to Title 7, subtitle B, chapter
XXXIV of the Code of Federal Regulations, for the purpose of
administering the Higher Education Challenge Grants Program conducted
under the authority of section 1417(b)(1) of the National Agricultural
Research, Extension, and Teaching Policy Act of 1977, as amended (7
U.S.C. 3152). This action establishes and codifies the administrative
procedures to be followed annually in the solicitation of competitive
proposals, the evaluation of such proposals, and the award of grants
under this program.
DATES: Effective August 21, 1997.
FOR FURTHER INFORMATION CONTACT: Dr. Jeffrey L. Gilmore at 202-720-1973
(voice), 202-720-2030 (fax) or via electronic mail at
jgilmore@reeusda.gov.
SUPPLEMENTARY INFORMATION: CSREES published a Notice of Proposed
Rulemaking (NPRM) on the administrative provisions for the Higher
Education Challenge Grants Program in the Federal Register on December
19, 1995 (60 FR 65444-65454).
Public Comments and Statutory Changes
In the NPRM, CSREES invited comments on the proposed regulations
for consideration in the formulation of a final rule. Four comments
were received.
One commenter generally endorsed the proposed rule but did not
comment on any particular provisions.
Another commenter questioned if college and university teaching
programs at the master's and doctoral degree levels were eligible for
grants. Both the NPRM and this final rule provide that the Higher
Education Challenge Grants Program may support projects to strengthen
undergraduate or graduate teaching programs. Projects at the master's
and doctoral degree levels are eligible for grants. Based on the amount
of funds appropriated in any fiscal year, CSREES determines and cites
in the annual program announcement the degree level(s) to be supported.
The third commenter asked if grants could be made to foundations
associated or affiliated with colleges or universities. The Higher
Education Challenge Grants Program operates under the authority of
section 1417(b) of the National Agricultural Research, Extension, and
Teaching Policy Act of 1977, as amended (NARETPA)(7 U.S.C. 3152 (b)).
Section 805(b) of the Federal Agriculture Improvement and Reform Act of
1996 (FAIR Act)(Pub. L. 104-127, April 4, 1996), amended the grant
eligibility requirements of section 1417 of NARETPA to include a
research foundation maintained by an eligible college or university.
This final rule modifies the NPRM by incorporating the FAIR Act
authorization for grants to research foundations of eligible
institutions by including such foundations in the definition of
``eligible institution'' in Sec. 3405.2(i) of this final rule.
A fourth commenter asked if only four-year colleges and
universities are eligible to apply for grants. The Higher Education
Challenge Grants Program operates under the authority of section
1417(b) of NARETPA. Community colleges and other two-year institutions
are not eligible for grants awarded under this section. Section 1417(b)
of NARETPA authorizes the Secretary of Agriculture to make competitive
grants to certain ``colleges and universities.'' The terms ``college''
and ``university'' are defined in section 1404(4)(C) of NARETPA (7
U.S.C. 3103(4)(C)) as educational institutions that provide ``an
educational program for which a bachelor's degree or any other higher
degree is awarded.''
This final rule modifies the NPRM by incorporating the change in
eligibility for a research foundation into the definition of ``eligible
institution'' in Sec. 3405.2(i) and adding the word ``eligible'' before
``institution'' in Sec. 3405.2(l). The reference in Sec. 3405.17(a) to
7 CFR part 3015 has been changed to reflect the currently applicable
USDA assistance regulations at 7 CFR part 3019. References to ``CSRS''
forms have been changed to ``CSREES'' forms.
Minor changes have been made to the provisions for grant extensions
in Sec. 3405.18(c). These changes reflect existing law and allow
flexibility in defining the terms for extensions in each agreement.
Thus, CSREES does not think further comment is required.
There are no other substantive differences between the NPRM and
this final rule.
Background and Purpose
This document adds a new part 3405 to title 7, subtitle B, chapter
XXXIV of the Code of Federal Regulations, for the purpose of
administering the Higher Education Challenge Grants Program. Under the
authority of section 1417(b)(1) of the National Agricultural Research,
Extension, and Teaching Policy Act of 1977, as amended (7 U.S.C.
3152(b)(1)), the Secretary of Agriculture is authorized to conduct
competitive grant programs to strengthen institutional capacities,
including curriculum, faculty, scientific instrumentation, instruction
delivery systems, and student recruitment and retention, to respond to
identified State, regional, national, or international educational
needs in the food and agricultural sciences. The issuance of this rule
will establish and codify the administrative procedures to be followed
annually in the solicitation of competitive grant proposals, the
evaluation of such proposals, and the award of grants under this
program.
The Challenge Grants Program is intended to assist colleges and
universities in the United States, having a demonstrable capacity to
carry out the teaching of the food and agricultural sciences, in
providing high quality educational programs in the food and
agricultural sciences. These programs will, in turn, attract
outstanding students and produce graduates capable of strengthening the
Nation's food and agricultural scientific and professional work force.
Classification
Executive Order No. 12866
This rule has been determined to be not significant for purposes of
Executive Order 12866 and therefore has not been reviewed by the Office
of Management and Budget. It has been determined that this rule is not
a ``significant regulatory action'' rule because it will not have an
annual effect on the economy of $100 million or more or adversely and
materially affect a sector of the economy, productivity, competition,
jobs, the environment, public health or safety, or State, local, or
tribal governments or communities. This rule will not create any
serious inconsistencies or otherwise interfere with actions taken or
planned by another agency. It will not materially alter the budgetary
impact of entitlements, grants, user fees, or loan programs, or the
rights and obligations of recipients thereof, and does not raise novel
legal or policy issues arising out of legal mandates, the President's
[[Page 39317]]
priorities, or principles set forth in Executive Order No. 12866.
Paperwork Reduction
Under the provisions of the Paperwork Reduction Act of 1995, as
amended (44 U.S.C. Chapter 35), the collection of information
requirements contained in this final rule have been reviewed and
approved by OMB and given the OMB Document Nos. 0524-0022, 0524-0024,
and 0524-0030. The public reporting burden for the information
collections contained in these regulations (Forms CSREES-663, CSREES-
708, CSREES-711, CSREES-712, and CSREES-713 as well as the Proposal
Summary, Proposal Narrative, and the Budget Narrative) is estimated to
be 39\1/2\ 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. Send comments regarding this burden estimate
or any other aspect of this collection of information, including
suggestions for reducing this burden, to the Department of Agriculture,
Clearance Officer, Office of the Chief Information Officer, Stop 7603,
1400 Independence Avenue, SW., Washington, DC 20250-7630, and to the
Office of Management and Budget, Paperwork Reduction Project,
Washington, DC 20503. This rule has no additional impact on any
existing data collection burden.
Regulatory Flexibility Act
The Administrator, CSREES, certifies that this rule will not have a
significant impact on a substantial number of small entities as defined
in the Regulatory Flexibility Act, Pub. L. 96-534, as amended (5 U.S.C.
601 et seq.). Accordingly, a regulatory flexibility analysis is not
required for this final rule.
Executive Order No. 12612
This rule involves no policies that have federalism implications
under Executive Order No. 12612, Federalism, dated October 26, 1987.
Catalog of Federal Domestic Assistance
This program is listed in the Catalog of Federal Domestic
Assistance under No. 10.217, Higher Education Challenge Grants Program.
For the reasons set forth in the Final Rule related Notice to 7 CFR
part 3015, subpart V, 57 FR 15278, April 27, 1992, this program is
excluded from the scope of Executive Order 12372 which requires
intergovernmental consultation with State and local officials.
List of Subjects in 7 CFR Part 3405
Grant programs--agriculture. Agriculture Higher Education Programs.
For the reasons set forth in the preamble, title 7, subtitle B,
chapter XXXIV, of the Code of Federal Regulations is amended by adding
part 3405 to read as follows:
PART 3405--HIGHER EDUCATION CHALLENGE GRANTS PROGRAM
Subpart A--General Information
Sec.
3405.1 Applicability of regulations.
3405.2 Definitions.
3405.3 Institutional eligibility.
Subpart B--Program Description
3405.4 Purpose of the program.
3405.5 Matching funds.
3405.6 Scope of program.
3405.7 Joint project proposals.
3405.8 Complementary project proposals.
3405.9 Use of funds for facilities.
Subpart C--Preparation of a Proposal
3405.10 Program application materials.
3405.11 Content of a proposal.
Subpart D--Submission of a Proposal
3405.12 Intent to submit a proposal.
3405.13 When and where to submit a proposal.
Subpart E--Proposal Review and Evaluation
3405.14 Proposal review.
3405.15 Evaluation criteria.
Subpart F--Supplementary Information
3405.16 Access to peer review information.
3405.17 Grant awards.
3405.18 Use of funds; changes.
3405.19 Monitoring progress of funded projects.
3405.20 Other Federal statutes and regulations that apply.
3405.21 Confidential aspects of proposals and awards.
3405.22 Evaluation of program.
Authority: Sec. 1470, National Agricultural Research, Extension,
and Teaching Policy Act of 1977, as amended (7 U.S.C. 3316).
Subpart A--General Information
Sec. 3405.1 Applicability of regulations.
(a) The regulations of this part only apply to competitive Higher
Education Challenge Grants awarded under the provisions of section
1417(b)(1) of the National Agricultural Research, Extension, and
Teaching Policy Act of 1977, as amended (NARETPA)(7 U.S.C. 3152(b)(1)),
to strengthen institutional capacities, including curriculum, faculty,
scientific instrumentation, instruction delivery systems, and student
recruitment and retention. Section 1405 of NARETPA (7 U.S.C. 3121)
designates the U.S. Department of Agriculture (USDA) as the lead
Federal agency for agricultural research, extension, and teaching in
the food and agricultural sciences. Section 1417 of NARETPA (7 U.S.C.
3152) authorizes the Secretary of Agriculture, who has delegated the
authority to the Administrator of the Cooperative State Research,
Education, and Extension Service (CSREES), to make competitive grants
to land-grant colleges and universities, to colleges and universities
having significant minority enrollments and a demonstrable capacity to
carry out the teaching of food and agricultural sciences, and to other
colleges and universities having a demonstrable capacity to carry out
the teaching of food and agricultural sciences, for a period not to
exceed 5 years, to administer and conduct programs to respond to
identified State, regional, national, or international educational
needs in the food and agricultural sciences.
(b) To the extent that funds are available, each year CSREES will
publish a Federal Register notice announcing the program and soliciting
grant applications.
(c)(1) Based on the amount of funds appropriated in any fiscal
year, CSREES will determine and cite in the program announcement:
(i) The targeted need area(s) to be supported or, if the entire
scope of a particular targeted need area is not to be supported, the
specific special interest(s) within that targeted need area to be
supported;
(ii) The degree level(s) to be supported;
(iii) The maximum project period a proposal may request;
(iv) The maximum amount of funds that may be requested by an
institution under a regular, complementary, or joint project proposal;
and
(v) The maximum total funds that may be awarded to an institution
under the program in a given fiscal year, including how funds awarded
for complementary and for joint project proposals will be counted
toward the institutional maximum.
(2) The program announcement will also specify the deadline date
for proposal submission, the number of copies of each proposal that
must be submitted, the address to which a proposal must be submitted,
and whether or not Form CSREES-711, ``Intent to Submit a Proposal,'' is
requested.
(d)(1) If it is deemed by CSREES that, for a given fiscal year,
additional determinations are necessary, each, as relevant, will be
stated in the program announcement. Such determinations may include:
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(i) Limits on the subject matter/emphasis areas to be supported;
(ii) The maximum number of proposals that may be submitted on
behalf of the same school, college, or equivalent administrative unit
within an institution;
(iii) The maximum total number of proposals that may be submitted
by an institution;
(iv) The minimum project period a proposal may request;
(v) The minimum amount of funds that may be requested by an
institution under a regular, complementary, or joint project proposal;
(vi) The proportion of the appropriation reserved for, or available
to, regular, complementary, and joint project proposals;
(vii) The proportion of the appropriation reserved for, or
available to, projects in each announced targeted need area;
(viii) The proportion of the appropriation reserved for, or
available to, each subject matter/emphasis area;
(ix) The maximum number of grants that may be awarded to an
institution under the program in a given fiscal year; and
(x) Limits on the use of grant funds for travel or to purchase
equipment, if any.
(2) The program announcement also will contain any other
limitations deemed necessary by CSREES for proper conduct of the
program in the applicable year.
(e) The regulations of this part do not apply to grants awarded by
the Department of Agriculture under any other authority.
Sec. 3405.2 Definitions.
As used in this part:
(a) 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.
(b) Authorized organizational representative means the president of
the institution or the official, designated by the president of the
institution, who has the authority to commit the resources of the
institution.
(c) Budget period means the interval of time (usually 12 months)
into which the project period is divided for budgetary and reporting
purposes.
(d) Cash contributions means the applicant's cash outlay, including
the outlay of money contributed to the applicant by non-Federal third
parties.
(e) Citizen or national of the United States means:
(1) A citizen or native resident of a State; or,
(2) A person defined in the Immigration and Nationality Act, 8
U.S.C. 1101(a)(22), who, though not a citizen of the United States,
owes permanent allegiance to the United States.
(f) College or University means an educational institution in any
State which:
(1) 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;
(2) Is legally authorized within such State to provide a program of
education beyond secondary education;
(3) Provides an educational program for which a baccalaureate
degree or any other higher degree is awarded;
(4) Is a public or other nonprofit institution; and
(5) Is accredited by a nationally recognized accrediting agency or
association.
(g) Complementary project proposal means a proposal for a project
which involves coordination with one or more other projects for which
funding was awarded under this program in a previous fiscal year, or
for which funding is requested under this program in the current fiscal
year.
(h) Department or USDA means the United States Department of
Agriculture.
(i) Eligible institution means a land-grant or other U.S. college
or university offering a baccalaureate or first professional degree in
at least one discipline or area of the food and agricultural sciences.
The definition includes a research foundation maintained by an eligible
college or university.
(j) Eligible participant means, for purposes of Sec. 3405.6(b),
Faculty Preparation and Enhancement for Teaching, and Sec. 3405.6(f),
Student Recruitment and Retention, an individual who: Is a citizen or
national of the United States, as defined in Sec. 3405.2(e); or is a
citizen of the Federated States of Micronesia, the Republic of the
Marshall Islands, or the Republic of Palau. Where eligibility is
claimed under Sec. 3405.2(e)(2), documentary evidence from the
Immigration and Naturalization Service as to such eligibility must be
made available to CSREES upon request.
(k) Food and agricultural sciences means basic, applied, and
developmental research, extension, and teaching activities in the food,
agricultural, renewable natural resources, forestry, and physical and
social sciences, in the broadest sense of these terms, including but
not limited to, activities concerned with the production, processing,
marketing, distribution, conservation, consumption, research, and
development of food and agriculturally related products and services,
and inclusive of programs in agriculture, natural resources,
aquaculture, forestry, veterinary medicine, home economics, rural
development, and closely allied disciplines.
(l) Grantee means the eligible institution designated in the grant
award document as the responsible legal entity to which a grant is
awarded.
(m) Joint project proposal means a proposal for a project, which
will involve the applicant institution and two or more other colleges,
universities, community colleges, junior colleges, or other
institutions, each of which will assume a major role in the conduct of
the proposed project, and for which the applicant institution will
transfer at least one-half of the awarded funds to the other
institutions participating in the project. Only the applicant
institution must meet the definition of ``eligible institution'' as
specified in Sec. 3405.2(i); the other institutions participating in a
joint project proposal are not required to meet the definition of
``eligible institution'' as specified in Sec. 3405.2(i), nor required
to meet the definition of ``college'' or ``university'' as specified in
Sec. 3405.2(f).
(n) Land-grant colleges and universities means those institutions
eligible to receive funds under the Act of July 2, 1862 (12 Stat. 503-
505, as amended; 7 U.S.C. 301-305, 307 and 308), or the Act of August
30, 1890 (26 Stat. 417-419, as amended; 7 U.S.C. 321-326 and 328),
including Tuskegee University.
(o) Matching or Cost-sharing means that portion of project costs
not borne by the Federal Government, including the value of in-kind
contributions.
(p) Peer review panel means a group of experts or consultants,
qualified by training and experience in particular fields of science,
education, or technology 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.
(q) Prior approval means written approval evidencing prior consent
by an authorized departmental officer as defined in Sec. 3405.2(a) of
this part.
(r) Project means the particular activity within the scope of one
or more of the targeted areas supported by a grant awarded under this
program.
(s) Project director means the single individual designated by the
grantee in the grant application and approved by the Secretary who is
responsible for the
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direction and management of the project.
(t) Project period means the period, as stated in the award
document and modifications thereto, if any, during which Federal
sponsorship begins and ends.
(u) Secretary means the Secretary of Agriculture and any other
officer or employee of the Department of Agriculture to whom the
authority involved may be delegated.
(v) State means any one of the fifty States, the Commonwealth of
Puerto Rico, Guam, American Samoa, the Commonwealth of the Northern
Marianas, the Virgin Islands of the United States, and the District of
Columbia.
(w) Teaching means formal classroom instruction, laboratory
instruction, and practicum experience in the food and agricultural
sciences and matters related thereto (such as faculty development,
student recruitment and services, curriculum development, instructional
materials and equipment, and innovative teaching methodologies)
conducted by colleges and universities offering baccalaureate or higher
degrees.
(x) Third party in-kind contributions means non-cash contributions
of property or services provided by non-Federal third parties,
including real property, equipment, supplies and other expendable
property, directly benefiting and specifically identifiable to a funded
project or program.
(y) United States means the several States, the territories and
possessions of the United States, the Commonwealth of Puerto Rico,
Guam, American Samoa, the Commonwealth of the Northern Marianas, the
Virgin Islands of the United States, and the District of Columbia.
Sec. 3405.3 Institutional eligibility.
Proposals may be submitted by land-grant and other U.S. colleges
and universities offering a baccalaureate or first professional degree
in at least one discipline or area of the food and agricultural
sciences. Each applicant must have a demonstrable capacity for, and a
significant ongoing commitment to, the teaching of food and
agricultural sciences generally and to the specific need and/or subject
area(s) for which a grant is requested. Awards may be made only to
eligible institutions as defined in Sec. 3405.2(i).
Subpart B--Program Description
Sec. 3405.4 Purpose of the program.
The Department of Agriculture is designated as the lead Federal
agency for higher education in the food and agricultural sciences. In
this context, CSREES has specific responsibility to initiate and
support projects to strengthen college and university teaching programs
in the food and agricultural sciences. One national initiative for
carrying out this responsibility is the competitive Higher Education
Challenge Grants Program. A primary goal of the program is to attract
and ensure a continual flow of outstanding students into food and
agricultural sciences higher education programs and to provide them
with an education of the highest quality available anywhere in the
world and which reflects the unique needs of the Nation. It is designed
to stimulate and enable colleges and universities to provide the
quality of education necessary to produce baccalaureate or higher
degree level graduates capable of strengthening the Nation's food and
agricultural scientific and professional work force. It is intended
that projects supported by the program will:
(a) Address a State, regional, national, or international
educational need;
(b) Involve a creative or nontraditional approach toward addressing
that need which can serve as a model to others;
(c) Encourage and facilitate better working relationships in the
university science and education community, as well as between
universities and the private sector, to enhance program quality and
supplement available resources; and
(d) Result in benefits which will likely transcend the project
duration and USDA support.
Sec. 3405.5 Matching funds.
Each application must provide for matching support from a non-
Federal source. CSREES will cite in the program announcement the
required percentage of institutional cost sharing.
Sec. 3405.6 Scope of Program.
This program supports projects related to strengthening
undergraduate or graduate teaching programs as specified in the annual
program announcement. Only proposals addressing one or more of the
specific targeted need areas(s) identified in the program announcement
will be funded. Proposals may focus on any subject matter area(s) in
the food and agricultural sciences unless limited by determinations as
specified in the annual program announcement. A proposal may address a
single targeted need area or multiple targeted need areas, and may be
focused on a single subject matter area or multiple subject matter
areas, in any combination (e.g., curriculum development in
horticulture; curriculum development, faculty enhancement, and student
experiential learning in animal science; faculty enhancement in food
science and agribusiness management; or instruction delivery systems
and student experiential learning in plant science, horticulture, and
entomology). Targeted need areas will consist of one or more of the
following:
(a) Curricula design and materials development. (1) The purpose of
this initiative is to promote new and improved curricula and materials
to increase the quality of, and continuously renew, the Nation's
academic programs in the food and agricultural sciences. The overall
objective is to stimulate the development and facilitate the use of
exemplary education models and materials that incorporate the most
recent advances in subject matter, research on teaching and learning
theory, and instructional technology. Proposals may emphasize: the
development of courses of study, degree programs, and instructional
materials; the use of new approaches to the study of traditional
subjects; or the introduction of new subjects, or new applications of
knowledge, pertaining to the food and agricultural sciences.
(2) Examples include, but are not limited to, curricula and
materials that promote:
(i) Raising the level of scholastic achievement of the Nation's
graduates in the food and agricultural sciences.
(ii) Addressing the special needs of particular groups of students,
such as minorities, gifted and talented, or those with educational
backgrounds that warrant enrichment.
(iii) Using alternative instructional strategies or methodologies,
including computer-assisted instruction or simulation modeling, media
programs that reach large audiences efficiently and effectively,
activities that provide hands-on learning experiences, and educational
programs that extend learning beyond the classroom.
(iv) Using sound pedagogy, particularly with regard to recent
research on how to motivate students to learn, retain, apply, and
transfer knowledge, skills, and competencies.
(v) Building student competencies to integrate and synthesize
knowledge from several disciplines.
(b) Faculty preparation and enhancement for teaching. (1) The
purpose of this initiative is to advance faculty development in the
areas of teaching competency, subject matter expertise, or student
recruitment and advising skills. Teachers are central to
[[Page 39320]]
education. They serve as models, motivators, and mentors--the catalysts
of the learning process. Moreover, teachers are agents for developing,
replicating, and exchanging effective teaching materials and methods.
For these reasons, education can be strengthened only when teachers are
adequately prepared, highly motivated, and appropriately recognized and
rewarded.
(2) Each faculty recipient of support for developmental activities
under Sec. 3405.6(b) must be an ``eligible participant'' as defined in
Sec. 3405.2(j) of this part.
(3) Examples of developmental activities include, but are not
limited to, those which enable teaching faculty to:
(i) Gain experience with recent developments or innovative
technology relevant to their teaching responsibilities.
(ii) Work under the guidance and direction of experts who have
substantial expertise in an area related to the developmental goals of
the project.
(iii) Work with scientists or professionals in government,
industry, or other colleges or universities to learn new applications
in a field.
(iv) Obtain personal experience working with new ideas and
techniques.
(v) Expand competence with new methods of information delivery,
such as computer-assisted or televised instruction.
(vi) Increase understanding of the special needs of non-traditional
students or students from groups that are underrepresented in the food
and agricultural sciences workforce.
(c) Instruction delivery systems. (1) The purpose of this
initiative is to encourage the use of alternative methods of delivering
instruction to enhance the quality, effectiveness, and cost efficiency
of teaching programs. The importance of this initiative is evidenced by
advances in educational research which have substantiated the theory
that differences in the learning styles of students often require
alternative instructional methodologies. Also, the rising costs of
higher education strongly suggest that colleges and universities
undertake more efforts of a collaborative nature in order to deliver
instruction which maximizes program quality and reduces unnecessary
duplication. At the same time, advancements in knowledge and technology
continue to introduce new subject matter areas which warrant
consideration and implementation of innovative instruction techniques,
methodologies, and delivery systems.
(2) Examples include, but are not limited to:
(i) Use of computers.
(ii) Teleconferencing.
(iii) Networking via satellite communications.
(iv) Regionalization of academic programs.
(v) Mobile classrooms and laboratories.
(vi) Individualized learning centers.
(vii) Symposia, forums, regional or national workshops, etc.
(d) Scientific instrumentation for teaching. (1) The purpose of
this initiative is to provide students in science-oriented courses the
necessary experience with suitable, up-to-date equipment in order to
involve them in work central to scientific understanding and progress.
This program initiative will support the acquisition of instructional
laboratory and classroom equipment to assure the achievement and
maintenance of outstanding food and agricultural sciences higher
education programs. A proposal may request support for acquiring new,
state-of-the-art instructional scientific equipment, upgrading existing
equipment, or replacing non-functional or clearly obsolete equipment.
(2) Examples include, but are not limited to:
(i) Rental or purchase of modern instruments to improve student
learning experiences in courses, laboratories, and field work.
(ii) Development of new ways of using instrumentation to extend
instructional capabilities.
(iii) Establishment of equipment-sharing capability via consortia
or centers that develop innovative opportunities, such as mobile
laboratories or satellite access to industry or government
laboratories.
(e) Student experiential learning. (1) The purpose of this
initiative is to further the development of student scientific and
professional competencies through experiential learning programs which
provide students with opportunities to solve complex problems in the
context of real-world situations. Effective experiential learning is
essential in preparing future graduates to advance knowledge and
technology, enhance quality of life, conserve resources, and revitalize
the Nation's economic competitiveness. Such experiential learning
opportunities are most effective when they serve to advance decision-
making and communication skills as well as technological expertise.
(2) Examples include, but are not limited to, projects which:
(i) Provide opportunities for students to participate in research
projects, either as a part of an ongoing research project or in a
project designed especially for this program.
(ii) Provide opportunities for students to complete
apprenticeships, internships, or similar participatory learning
experiences.
(iii) Expand and enrich courses which are of a practicum nature.
(iv) Provide career mentoring experiences that link students with
outstanding professionals.
(f) Student recruitment and retention. (1) The purpose of this
initiative is to strengthen student recruitment and retention programs
in order to promote the future strength of the Nation's scientific and
professional work force. The Nation's economic competitiveness and
quality of life rest upon the availability of a cadre of outstanding
research scientists, university faculty, and other professionals in the
food and agricultural sciences. A substantial need exists to supplement
efforts to attract increased numbers of academically outstanding
students to prepare for careers as food and agricultural scientists and
professionals. It is particularly important to augment the racial,
ethnic, and gender diversity of the student body in order to promote a
robust exchange of ideas and a more effective use of the full breadth
of the Nation's intellectual resources.
(2) Each student recipient of monetary support for education costs
or developmental purposes under Sec. 3405.6(f) must be enrolled at an
eligible institution and meet the requirement of an ``eligible
participant'' as defined in Sec. 3405.2(j) of this part.
(3) Examples include, but are not limited to:
(i) Special outreach programs for elementary and secondary students
as well as parents, counselors, and the general public to broaden
awareness of the extensive nature and diversity of career opportunities
for graduates in the food and agricultural sciences.
(ii) Special activities and materials to establish more effective
linkages with high school science classes.
(iii) Unique or innovative student recruitment activities,
materials, and personnel.
(iv) Special retention programs to assure student progression
through and completion of an educational program.
(v) Development and dissemination of stimulating career information
materials.
(vi) Use of regional or national media to promote food and
agricultural sciences higher education.
[[Page 39321]]
(vii) Providing financial incentives to enable and encourage
students to pursue and complete an undergraduate or graduate degree in
an area of the food and agricultural sciences.
(viii) Special recruitment programs to increase the participation
of students from non-traditional or underrepresented groups in courses
of study in the food and agricultural sciences.
Sec. 3405.7 Joint project proposals.
Applicants are encouraged to submit joint project proposals as
defined in Sec. 3405.2(m), which address regional or national problems
and which will result overall in strengthening higher education in the
food and agricultural sciences. The goals of such joint initiatives
should include maximizing the use of limited resources by generating a
critical mass of expertise and activity focused on a targeted need
area(s), increasing cost-effectiveness through achieving economies of
scale, strengthening the scope and quality of a project's impact, and
promoting coalition building likely to transcend the project's lifetime
and lead to future ventures.
Sec. 3405.8 Complementary project proposals.
Institutions may submit proposals that are complementary in nature
as defined in Sec. 3405.2(g). Such complementary project proposals may
be submitted by the same or by different eligible institutions.
Sec. 3405.9 Use of funds for facilities.
Under the Higher Education Challenge Grants Program, the use of
grant funds to plan, acquire, or construct a building or facility is
not allowed. With prior approval, in accordance with the cost
principles set forth in OMB Circular No. A-21, some grant funds may be
used for minor alterations, renovations, or repairs deemed necessary to
retrofit existing teaching spaces in order to carry out a funded
project. However, requests to use grant funds for such purposes must
demonstrate that the alterations, renovations, or repairs are
incidental to the major purpose for which a grant is made.
Subpart C--Preparation of a Proposal
Sec. 3405.10 Program application materials.
Program application materials in an application package will be
made available to eligible institutions upon request. These materials
include the program announcement, the administrative provisions for the
program, and the forms needed to prepare and submit grant applications
under the program.
Sec. 3405.11 Content of a proposal.
(a) Proposal cover page. (1) Form CSREES-712, ``Higher Education
Proposal Cover Page,'' must be completed in its entirety. Note that
providing a Social Security Number is voluntary, but is an integral
part of the CSREES information system and will assist in the processing
of the proposal.
(2) One copy of the Form CSREES-712 must contain the pen-and-ink
signatures of the Project Director(s) and authorized organizational
representative for the applicant institution.
(3) The title of the project shown on the ``Higher Education
Proposal Cover Page'' must be brief (80-character maximum) yet
represent the major thrust of the project. This information will be
used by the Department to provide information to the Congress and other
interested parties.
(4) In block 7. of Form CSREES-712, enter ``Higher Education
Challenge Grants Program.''
(5) In block 8.a. of Form CSREES-712, enter ``Teaching.'' In block
8.b. identify the code for the targeted need area(s) as found on the
reverse of the form. If a proposal focuses on multiple targeted need
areas, enter each code associated with the project and place an
asterisk (*) immediately following the code for the primary targeted
need area. In block 8.c. identify the major area(s) of emphasis as
found on the reverse of the form. If a proposal focuses on multiple
areas of emphasis, enter each code associated with the project. This
information will be used by program staff for the proper assignment of
proposals to peer reviewers.
(6) In block 9. of Form CSREES-712, indicate if the proposal is a
complementary project proposal or a joint project proposal as defined
in Sec. 3405.2(g) and Sec. 3405.2(m), respectively, of this part. If it
is not a complementary project proposal or a joint project proposal,
identify it as a regular project proposal.
(7) In block 13. of Form CSREES-712, indicate if the proposal is a
new, first-time submission or if the proposal is a resubmission of a
proposal that has been submitted to, but not funded under, the Higher
Education Challenge Grants Program in a previous competition.
(b) Table of Contents. For ease in locating information, each
proposal must contain a detailed table of contents just after the
Proposal Cover Page. The Table of Contents should include page numbers
for each component of the proposal. Pagination should begin immediately
following the Table of Contents.
(c) Project summary. (1) A Project Summary should immediately
follow the Table of Contents. The information provided in the Project
Summary may be used by the program staff for a variety of purposes,
including the proper assignment of proposals to peer reviewers and
providing information to peer reviewers prior to the peer panel
meeting. The name of the institution, the targeted need area(s), and
the title of the proposal must be identified exactly as shown on the
``Higher Education Proposal Cover Page.''
(2) If the proposal is a complementary project proposal, as defined
in Sec. 3405.2(g) of this part, indicate such and identify the other
complementary project(s) by citing the name of the submitting
institution, the title of the project, the project director, and the
grant number (if funded in a previous year) exactly as shown on the
cover page of the complementary project so that appropriate
consideration can be given to the interrelatedness of the proposals in
the evaluation process.
(3) If the proposal is a joint project proposal, as defined in
Sec. 3405.2(m) of this part, indicate such and identify the other
participating institutions and the key faculty member or other
individual responsible for coordinating the project at each
institution.
(4) The Project Summary should be a concise description of the
proposed activity suitable for publication by the Department to inform
the general public about awards under the program. The text must not
exceed one page, single-spaced. The Project Summary should be a self-
contained description of the activity which would result if the
proposal is funded by USDA. It should include: The objectives of the
project; a synopsis of the plan of operation; a description of how the
project will strengthen higher education in the food and agricultural
sciences in the United States; and the plans for disseminating project
results. The Project Summary should be written so that a technically
literate reader can evaluate the use of Federal funds in support of the
project.
(d) Resubmission of a proposal.--(1) Resubmission of previously
unfunded proposals. If a proposal has been submitted previously, but
was not funded, such should be indicated in block 13. on Form CSREES-
712, ``Higher Education Proposal Cover Page,'' and the following
information should be included in the proposal: The fiscal year(s) in
which the proposal was submitted previously; a summary of the peer
reviewers' comments; and how these comments have been addressed in
[[Page 39322]]
the current proposal, including the page numbers in the current
proposal where the peer reviewers' comments have been addressed. This
information may be provided as a section of the proposal following the
Project Summary and preceding the proposal narrative or it may be
placed in the Appendix (see Sec. 3405.11(i)). In either case, the
location of this information should be indicated in the Table of
Contents. Further, when possible, the information should be presented
in tabular format. Applicants who choose to resubmit proposals that
were previously submitted, but not funded, should note that resubmitted
proposals must compete equally with newly submitted proposals.
Submitting a proposal that has been revised based on a previous peer
review panel's critique of the proposal does not guarantee the success
of the resubmitted proposal.
(2) Resubmission of previously funded proposals. The Higher
Education Challenge Grants Program is not designed to support
activities that essentially are repetitive in nature over multiple
grant awards. Project directors who have had their projects funded
previously are discouraged from resubmitting relatively identical
proposals for further funding. Proposals that are sequential
continuations or new stages of previously funded Challenge Grants
Program projects must compete with first-time proposals. Therefore,
project directors should thoroughly demonstrate how the project
proposed in the current application expands substantially upon a
previously funded project (i.e., demonstrate how the new project will
advance the former project to the next level of attainment or will
achieve expanded goals). The proposal must also show the degree to
which the new phase promotes innovativeness and creativity beyond the
scope of the previously funded project.
(e) Narrative of a proposal. The narrative portion of the proposal
is limited to 20 pages in length. The one-page Project Summary is not
included in the 20-page limitation. The narrative must be typed on one
side of the page only, using a font no smaller than 12 point, and
double-spaced. All margins must be at least one inch. All pages
following the Table of Contents must be paginated. It should be noted
that peer reviewers will not be required to read beyond 20 pages of the
narrative to evaluate the proposal. The narrative should contain the
following sections:
(1) Potential for advancing the quality of education.--(i) Impact.
(A) Identify the targeted need area(s).
(B) Clearly state the specific instructional problem or opportunity
to be addressed.
(C) Describe how and by whom the focus and scope of the project
were determined. Summarize the body of knowledge which substantiates
the need for the proposed project.
(D) Describe ongoing or recently completed significant activities
related to the proposed project for which previous funding was received
under this program.
(E) Discuss how the project will be of value at the State,
regional, national, or international level(s).
(F) Discuss how the benefits to be derived from the project will
transcend the applicant institution or the grant period. Also discuss
the probabilities of the project being adapted by other institutions.
For example, can the project serve as a model for others?
(ii) Continuation plans. Discuss the likelihood of, or plans for,
continuation or expansion of the project beyond USDA support. For
example, does the institution's long-range budget or academic plan
provide for the realistic continuation or expansion of the initiative
undertaken by this project after the end of the grant period, are plans
for eventual self-support built into the project, are plans being made
to institutionalize the program if it meets with success, and are there
indications of other continuing non-Federal support?
(iii) Innovation. Describe the degree to which the proposal
reflects an innovative or non-traditional approach to solving a higher
education problem or strengthening the quality of higher education in
the food and agricultural sciences.
(iv) Products and results. Explain the expected products and
results and their potential impact on strengthening food and
agricultural sciences higher education in the United States.
(2) Overall approach and cooperative linkages.--(i) Proposed
approach.(A) Objectives. Cite and discuss the specific objectives to be
accomplished under the project.
(B) Plan of operation. (1) Describe procedures for accomplishing
the objectives of the project.
(2) Describe plans for management of the project to ensure its
proper and efficient administration.
(3) Describe the way in which resources and personnel will be used
to conduct the project.
(C) Timetable. Provide a timetable for conducting the project.
Identify all important project milestones and dates as they relate to
project start-up, execution, evaluation, dissemination, and close-out.
(ii) Evaluation plans. (A) Provide a plan for evaluating the
accomplishment of stated objectives during the conduct of the project.
Indicate the criteria, and corresponding weight of each, to be used in
the evaluation process, describe any data to be collected and analyzed,
and explain the methodology that will be used to determine the extent
to which the needs underlying the project are met.
(B) Provide a plan for evaluating the effectiveness of the end
results upon conclusion of the project. Include the same kinds of
information requested in Sec. 3405.11(e)(2)(ii)(A).
(iii) Dissemination plans. Discuss plans to disseminate project
results and products. Identify target audiences and explain methods of
communication.
(iv) Partnerships and collaborative efforts. (A) Explain how the
project will maximize partnership ventures and collaborative efforts to
strengthen food and agricultural sciences higher education (e.g.,
involvement of faculty in related disciplines at the same institution,
joint projects with other colleges or universities, or cooperative
activities with business or industry). Also explain how it will
stimulate academia, the States, or the private sector to join with the
Federal partner in enhancing food and agricultural sciences higher
education.
(B) Provide evidence, via letters from the parties involved, that
arrangements necessary for collaborative partnerships or joint
initiatives have been discussed and realistically can be expected to
come to fruition, or actually have been finalized contingent on an
award under this program. Letters must be signed by an official who has
the authority to commit the resources of the organization. Such letters
should be referenced in the plan of operation, but the actual letters
should be included in the Appendix section of the proposal. Any
potential conflict(s) of interest that might result from the proposed
collaborative arrangements must be discussed in detail.
(3) Institutional commitment and resources.--(i) Institutional
commitment. Discuss the institution's commitment to the project. For
example, substantiate that the institution attributes a high priority
to the project, discuss how the project will contribute to the
achievement of the institution's long-term (five-to ten-year) goals,
explain how the project will help satisfy the institution's high-
priority objectives, or show how this project is linked to and
supported by the institution's strategic plan.
[[Page 39323]]
(ii) Institutional resources. Document the commitment of
institutional resources to the project, and show that the institutional
resources to be made available to the project, when combined with the
support requested from USDA, will be adequate to carry out the
activities of the project. Discuss institutional facilities, equipment,
computer services, and other appropriate resources available to the
project.
(f) Key personnel. A Form CSREES-708, ``Summary Vita--Teaching
Proposal,'' should be included for each key person associated with the
project.
(g) Budget and cost-effectiveness.--(1) Budget form. (i) Prepare
Form CSREES-713, ``Higher Education Budget,'' in accordance with
instructions provided with the form. Proposals may request support for
a period to be identified in each year's program announcement. 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. Form CSREES-713 may be reproduced as needed
by proposers. 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 administrative
provisions, and can be justified as necessary for the successful
conduct of the proposed project.
(ii) The approved negotiated instruction rate or the rate allowed
by law should be used when computing indirect costs. If a reduced rate
of indirect costs is voluntarily requested from USDA, the remaining
allowable indirect costs may be used as matching funds.
(2) Matching funds. When documenting matching contributions, use
the following guidelines:
(i) When preparing the column of Form CSREES-713 entitled
``Applicant Contributions To Matching Funds,'' only those costs to be
contributed by the applicant for the purposes of matching should be
shown. The total amount of this column should be indicated in item M.
(ii) In item N of Form CSREES-713, show a total dollar amount for
Cash Contributions from both the applicant and any third parties; also
show a total dollar amount (based on current fair market value) for
Non-cash Contributions from both the applicant and any third parties.
(iii) To be counted toward the matching requirements stated in
Sec. 3405.5 of this part, proposals must include written verification
of any actual commitments of matching support (including both cash and
non-cash contributions) from third parties. Written verification
means--
(A) For any third party cash contributions, a separate pledge
agreement for each donation, signed by the authorized organizational
representative(s) of the donor organization and the applicant
institution, which must include:
(1) The name, address, and telephone number of the donor;
(2) The name of the applicant institution;
(3) The title of the project for which the donation is made;
(4) The dollar amount of the cash donation; and
(5) A statement that the donor will pay the cash contribution
during the grant period; and
(B) For any third party non-cash contributions, a separate pledge
agreement for each contribution, signed by the authorized
organizational representative(s) of the donor organization and the
applicant institution, which must include:
(1) The name, address, and telephone number of the donor;
(2) The name of the applicant institution;
(3) The title of the project for which the donation is made;
(4) A good faith estimate of the current fair market value of the
non-cash contribution; and
(5) A statement that the donor will make the contribution during
the grant period.
(iv) All pledge agreements referenced in Sec. 3405.11(g)(2)(iii)
(A) and (B) must be placed in the proposal immediately following Form
CSREES-713. The sources and amounts of all matching support from
outside the applicant institution should be summarized in the Budget
Narrative section of the proposal.
(v) Applicants should refer to OMB Circulars A-110, ``Uniform
Administrative Requirements for Grants and Agreements With Institutions
of Higher Education, Hospitals and Other Non-profit Organizations,''
and A-21, ``Cost Principles for Educational Institutions,'' for further
guidance and other requirements relating to matching and allowable
costs.
(3) Chart on shared budget for joint project proposal. For a joint
project proposal, a plan must be provided indicating how funds will be
distributed to the participating institutions. The budget section of a
joint project proposal should include a chart indicating: The names of
the participating institutions; the amount of funds to be disbursed to
those institutions; and the way in which such funds will be used in
accordance with items A through L of Form CSREES-713, ``Higher
Education Budget.'' If a proposal is not for a joint project, such a
chart is not required.
(4) Budget narrative. (i) Discuss how the budget specifically
supports the proposed project activities. Explain how such budget items
as professional or technical staff, travel, equipment, etc., are
essential to achieving project objectives.
(ii) Justify that the total budget, including funds requested from
USDA and any matching support provided, will be adequate to carry out
the activities of the project. Provide a summary of sources and amounts
of all third party matching support.
(iii) Justify the project's cost-effectiveness. Show how the
project maximizes the use of limited resources, optimizes educational
value for the dollar, achieves economies of scale, or leverages
additional funds. For example, discuss how the project has the
potential to generate a critical mass of expertise and activity focused
on a targeted need area, or to promote coalition building that could
lead to future ventures.
(iv) Include the percentage of time key personnel will work on the
project, both during the academic year and summer. When salaries of
university personnel will be paid by a combination of USDA and
institutional funds, the total compensation must not exceed the faculty
member's regular annual compensation. In addition, the total commitment
of time devoted to the project, when combined with time for teaching
and research duties, other sponsored agreements, and other employment
obligations to the institution, must not exceed 100 percent of the
normal workload for which the employee is compensated, in accordance
with established university policies and applicable Federal cost
principles.
(v) If the proposal addresses more than one targeted need area
(e.g., student experiential learning and instruction delivery systems),
estimate the proportion of the funds requested from USDA that will
support each respective targeted need area.
(h) Current and pending support. Each applicant must complete Form
CSREES-663, ``Current and Pending Support,'' identifying any other
current public- or private-sponsored projects, in addition to the
proposed project, to which key personnel listed in the proposal under
consideration have
[[Page 39324]]
committed portions of their time, whether or not salary support for the
person(s) involved is included in the budgets of the various projects.
This information should also be provided for any pending proposals
which are currently being considered by, or which will be submitted in
the near future to other possible sponsors, including other USDA
programs or agencies. Concurrent submission of identical or similar
projects to other possible sponsors will not prejudice the review or
evaluation of a project under this program.
(i) Appendix. Each project narrative is expected to be complete in
itself and to meet the 20-page limitation. Inclusion of material in an
Appendix should not be used to circumvent the 20-page limitation of the
proposal narrative. However, in those instances where inclusion of
supplemental information is necessary to guarantee the peer review
panel's complete understanding of a proposal or to illustrate the
integrity of the design or a main thesis of the proposal, such
information may be included in an Appendix. Examples of supplemental
material are photographs, journal reprints, brochures and other
pertinent materials which are deemed to be illustrative of major points
in the narrative but unsuitable for inclusion in the proposal narrative
itself. Information on previously submitted proposals may also be
presented in the Appendix (refer to Sec. 3405.11(d)). When possible,
information in the Appendix should be presented in tabular format. A
complete set of the Appendix material must be attached to each copy of
the grant application submitted. The Appendix must be identified with
the title of the project as it appears on Form CSREES-712 of the
proposal and the name(s) of the project director(s). The Appendix must
be referenced in the proposal narrative.
Subpart D--Submission of a Proposal
Sec. 3405.12 Intent to submit a proposal.
To assist CSREES in preparing for the review of proposals,
institutions planning to submit proposals may be requested to complete
Form CSREES-711, ``Intent to Submit a Proposal,'' provided in the
application package. CSREES will determine each year if Intent to
Submit a Proposal forms will be requested and provide such information
in the program announcement. If Intent to Submit a Proposal forms are
required, one form should be completed and returned for each proposal
an institution anticipates submitting. Submitting this form does not
commit an institution to any course of action, nor does failure to send
this form prohibit an institution from submitting a proposal.
Sec. 3405.13 When and where to submit a proposal.
The program announcement will provide the deadline date for
submitting a proposal, the number of copies of each proposal that must
be submitted, and the address to which proposals must be submitted.
Subpart E--Proposal Review and Evaluation
Sec. 3405.14 Proposal review.
The proposal evaluation process includes both internal staff review
and merit evaluation by peer review panels comprised of scientists,
educators, business representatives, and Government officials. Peer
review panels will be selected and structured to provide optimum
expertise and objective judgment in the evaluation of proposals.
Sec. 3405.15 Evaluation criteria.
The maximum score a proposal can receive is 200 points. Unless
otherwise stated in the annual solicitation published in the Federal
Register, the peer review panel will consider the following criteria
and weights to evaluate proposals submitted:
------------------------------------------------------------------------
Evaluation Criterion Weight
------------------------------------------------------------------------
(a) Potential for advancing the quality of
education:
This criterion is used to assess the
likelihood that the project will have a
substantial impact upon and advance the
quality of food and agricultural sciences
higher education by strengthening
institutional capacities through promoting
education reform to meet clearly
delineated needs.
(1) Impact--Does the project address a 20 points.
targeted need area(s)? Is the problem
or opportunity clearly documented?
Does the project address a State,
regional, national, or international
problem or opportunity? Will the
benefits to be derived from the
project transcend the applicant
institution and/or the grant period?
Is it probable that other institutions
will adapt this project for their own
use? Can the project serve as a model
for others?
(2) Continuation plans--Are there plans 10 points.
for continuation or expansion of the
project beyond USDA support? Are there
indications of external, non-Federal
support? Are there realistic plans for
making the project self-supporting?
(3) Innovation--Are significant aspects 20 points.
of the project based on an innovative
or a non-traditional approach toward
solving a higher education problem or
strengthening the quality of higher
education in the food and agricultural
sciences? If successful, is the
project likely to lead to education
reform?
(4) Products and results--Are the 20 points.
expected products and results of the
project clearly explained? Do they
have the potential to strengthen food
and agricultural sciences higher
education? Are the products likely to
be of high quality? Will the project
contribute to a better understanding
of or improvement in the quality,
distribution, effectiveness, or
racial, ethnic, or gender diversity of
the Nation's food and agricultural
scientific and professional expertise
base?
(b) Overall approach and cooperative linkages:
This criterion relates to the soundness of
the proposed approach and the quality of
the partnerships likely to evolve as a
result of the project.
(1) Proposed approach--Do the 20 points.
objectives and plan of operation
appear to be sound and appropriate
relative to the targeted need area(s)
and the impact anticipated? Are the
procedures managerially,
educationally, and/or scientifically
sound? Is the overall plan integrated
with or does it expand upon other
major efforts to improve the quality
of food and agricultural sciences
higher education? Does the timetable
appear to be readily achievable?
(2) Evaluation--Are the evaluation 10 points.
plans adequate and reasonable? Do they
allow for continuous and/or frequent
feedback during the life of the
project? Are the individuals involved
in project evaluation skilled in
evaluation strategies and procedures?
Can they provide an objective
evaluation? Do evaluation plans
facilitate the measurement of project
progress and outcomes?
(3) Dissemination--Does the proposed 10 points.
project include clearly outlined and
realistic mechanisms that will lead to
widespread dissemination of project
results, including national electronic
communication systems, publications,
presentations at professional
conferences, and/or use by faculty
development or research/teaching
skills workshops
[[Page 39325]]
(4) Partnerships and collaborative 20 points.
efforts--Will the project expand
partnership ventures among disciplines
at a university, between colleges and
universities, or with the private
sector? Will the project lead to long-
term relationships or cooperative
partnerships that are likely to
enhance program quality or supplement
resources available to food and
agricultural sciences higher
education?
(c) Institutional commitment and resources:
This criterion relates to the institution's
commitment to the project and the adequacy
of institutional resources available to
carry out the project.
(1) Institutional commitment--Is there 10 points.
evidence to substantiate that the
institution attributes a high-priority
to the project, that the project is
linked to the achievement of the
institution's long-term goals, that it
will help satisfy the institution's
high-priority objectives, or that the
project is supported by the
institution's strategic plans?
(2) Institutional resources--Will the 10 points.
project have adequate support to carry
out the proposed activities? Will the
project have reasonable access to
needed resources such as instructional
instrumentation, facilities, computer
services, library and other
instruction support resources?
(d) Key personnel: 20 points.
This criterion relates to the number and
qualifications of the key persons who will
carry out the project. Are designated
project personnel qualified to carry out a
successful project? Are there sufficient
numbers of personnel associated with the
project to achieve the stated objectives
and the anticipated outcomes?
(e) Budget and cost-effectiveness:
This criterion relates to the extent to
which the total budget adequately supports
the project and is cost-effective.
(1) Budget--Is the budget request 10 points.
justifiable? Are costs reasonable and
necessary? Will the total budget be
adequate to carry out project
activities? Are the source(s) and
amount(s) of non-Federal matching
support clearly identified and
appropriately documented? For a joint
project proposal, is the shared budget
explained clearly and in sufficient
detail?
(2) Cost-effectiveness--Is the proposed 10 points.
project cost-effective? Does it
demonstrate a creative use of limited
resources, maximize educational value
per dollar of USDA support, achieve
economies of scale, leverage
additional funds or have the potential
to do so, focus expertise and activity
on a targeted need area, or promote
coalition building for current or
future ventures?
(f) Overall quality of proposal: 10 points.
This criterion relates to the degree to
which the proposal complies with the
application guidelines and is of high
quality. Is the proposal enhanced by its
adherence to instructions (table of
contents, organization, pagination, margin
and font size, the 20-page limitation,
appendices, etc.); accuracy of forms;
clarity of budget narrative; well prepared
vitae for all key personnel associated
with the project; and presentation (are
ideas effectively presented, clearly
articulated, and thoroughly explained,
etc.)?
------------------------------------------------------------------------
Subpart F--Supplementary Information
Sec. 3405.16 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. Verbatim copies of summary reviews, not including the
identity of the peer reviewers, will be made available to respective
project directors upon specific request.
Sec. 3405.17 Grant awards.
(a) General. Within the limit of funds available for such purpose,
the authorized departmental officer shall make project grants to those
responsible, eligible applicants whose proposals are judged most
meritorious in the announced targeted need areas under the evaluation
criteria and procedures set forth in this part. The beginning of the
project period shall be no later than September 30 of the Federal
fiscal year in which the project is approved for support. All funds
granted under this part shall be expended solely for the purpose for
which the funds are granted in accordance with the 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 Administrative Requirements for Grants and Agreements With
Institutions of Higher Education, Hospitals, and Other Non-Profit
Organizations (7 CFR part 3019).
(b) Organizational management information. Specific management
information relating to a proposing institution shall be submitted on a
one-time basis prior to the award of a project grant identified under
this part if such information has not been provided previously under
this or another program for which the sponsoring agency is responsible.
Copies of the forms used to fulfill this requirement will be sent to
the proposing institution by the sponsoring agency as part of the pre-
award process.
(c) Notice of grant award. The grant award document shall include
at a minimum the following:
(1) Legal name and address of performing organization.
(2) Title of project.
(3) Name(s) and address(es) of project director(s).
(4) Identifying grant number assigned by the Department.
(5) Project period, which specifies how long the Department intends
to support the effort without requiring reapplication for funds.
(6) Total amount of Federal financial assistance approved during
the project period.
(7) Legal authority(ies) under which the grant is awarded.
(8) Approved budget plan for categorizing allocable project funds
to accomplish the stated purpose of the grant award.
(9) Other information or provisions deemed necessary by the
Department to carry out its granting activities or to accomplish the
purpose of this particular project grant.
(d) Obligation of the Federal Government. Neither the approval of
any application nor the award of any project grant shall legally commit
or obligate CSREES or the United States to provide further support of a
project or any portion thereof.
Sec. 3405.18 Use of funds; changes.
(a) 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.
(b) Change in project plans. (1) 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
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achievement of the project's approved goals. If the grantee or the
project director(s) are uncertain as to whether a change complies with
this provision, the question must be referred to the Department for a
final determination.
(2) Changes in approved goals, or objectives, shall be requested by
the grantee and approved in writing by the authorized departmental
officer prior to effecting such changes. In no event shall requests for
such changes be approved that are outside the scope of the approved
project.
(3) 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 authorized departmental officer
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 grantee
and approved in writing by the authorized departmental officer prior to
effecting such transfers.
(c) Changes in project period. The project period may be extended
by the authorized departmental officer without additional financial
support for such additional period(s) as the authorized departmental
officer determines may be necessary to complete or fulfill the purposes
of an approved project. However, due to statutory restriction, no grant
may be extended beyond five years from the original start date of the
grant, or pre-award date, if applicable. Grant extensions shall be
conditioned upon prior request by the grantee and approval in writing
by the authorized departmental officer, unless prescribed otherwise in
the terms and conditions of a grant.
(d) Changes in approved budget. Changes in an approved budget shall
be requested by the grantee and approved in writing by the authorized
departmental officer 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.
Sec. 3405.19 Monitoring progress of funded projects.
(a) During the tenure of a grant, project directors must attend at
least one national project directors meeting, if offered, in
Washington, DC or any other announced location. The purpose of the
meeting will be to discuss project and grant management opportunities
for collaborative efforts, future directions for education reform, and
opportunities to enhance dissemination of exemplary end products/
results.
(b) An Annual Performance Report must be submitted to the USDA
program contact person within 90 days after the completion of the first
year of the project and annually thereafter during the life of the
grant. Generally, the Annual Performance Reports should include a
summary of the overall progress toward project objectives, current
problems or unusual developments, the next year's activities, and any
other information that is pertinent to the ongoing project or which may
be specified in the terms and conditions of the award.
(c) A Final Performance Report must be submitted to the USDA
program contact person within 90 days after the expiration date of the
project. The expiration date is specified in the award documents and
modifications thereto, if any. Generally, the Final Performance Report
should be a summary of the completed project, including: A review of
project objectives and accomplishments; a description of any products
and outcomes resulting from the project; activities undertaken to
disseminate products and outcomes; partnerships and collaborative
ventures that resulted from the project; future initiatives that are
planned as a result of the project; the impact of the project on the
project director(s), the institution, and the food and agricultural
sciences higher education system; and data on project personnel and
beneficiaries. The Final Performance Report should be accompanied by
samples or copies of any products or publications resulting from or
developed by the project. The Final Performance Report must also
contain any other information which may be specified in the terms and
conditions of the award.
Sec. 3405.20 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 part. These include but are not limited to:
7 CFR Part 1, Subpart A--USDA implementation of Freedom of
Information Act.
7 CFR Part 3--USDA implementation of OMB Circular No. A-129
regarding debt collection.
7 CFR Part 15, Subpart A--USDA implementation of Title VI of the
Civil Rights Act of 1964, as amended.
7 CFR Part 3015--USDA Uniform Federal Assistance Regulations,
implementing OMB directives (i.e., Circular Nos. A-21 and A-122) and
incorporating provisions of 31 U.S.C. 6301-6308 (formerly the
Federal Grant and Cooperative Agreement Act of 1977, Pub. L. 95-
224), as well as general policy requirements applicable to
recipients of Departmental financial assistance.
7 CFR Part 3017, as amended--Governmentwide Debarment and
Suspension (Nonprocurement); Governmentwide Requirements for Drug-
Free Workplace (Grants), implementing Executive Order 12549 on
debarment and suspension and the Drug-Free Workplace Act of 1988 (41
U.S.C. 701).
7 CFR Part 3018--Restrictions on Lobbying, prohibiting the use
of appropriated funds to influence Congress or a Federal agency in
connection with the making of any Federal grant and other Federal
contracting and financial transactions.
7 CFR Part 3019--USDA implementation of OMB Circular A-110,
Uniform Administrative Requirements for Grants and Agreements With
Institutions of Higher Education, Hospitals, and Other Nonprofit
Organizations.
7 CFR Part 3051--USDA implementation of OMB Circular No. A-133
regarding audits of institutions of higher education and other
nonprofit institutions.
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).
Sec. 3405.21 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
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required by law. A proposal may be withdrawn at any time prior to the
final action thereon.
Sec. 3405.22 Evaluation of program.
Grantees should be aware that CSREES may, as a part of its own
program evaluation activities, carry out in-depth evaluations of
assisted activities. Thus, grantees should be prepared to cooperate
with CSREES personnel, or persons retained by CSREES, evaluating the
institutional context and the impact of any supported project. Grantees
may be asked to provide general information on any students and faculty
supported, in whole or in part, by a grant awarded under this program;
information that may be requested includes, but is not limited to,
standardized academic achievement test scores, grade point average,
academic standing, career patterns, age, race/ethnicity, gender,
citizenship, and disability.
Done at Washington, DC, this 10th day of July 1997.
B.H. Robinson,
Administrator, Cooperative State Research, Education, and Extension
Service.
[FR Doc. 97-19027 Filed 7-21-97; 8:45 am]
BILLING CODE 3410-22-P
