4382 Federal Register / Vol. 62, No. 19 / Wednesday, January 29, 1997 / Notices

DEPARTMENT OF AGRICULTURE

Cooperative State Research,

Education, and Extension Service

Request for Proposals (RFP): Fund for

Rural America Program

AGENCY: Cooperative State Research,

Education, and Extension Service,

USDA.

ACTION: Announcement of availability of

grant funds and request for proposals for

the Fund for Rural America Program.

SUMMARY: The Federal Agriculture

Improvement and Reform Act of 1996

established an account in the Treasury

of the United States to provide funds for

rural development programs and a

competitive grant program to support

research, education, and extension

activities.

This notice pertains only to the

competitive grant program for research,

education, and extension activities. It

identifies eligible participants in the

program, the program areas to be

supported, and the funding levels for

each area; provides instructions for

preparing and submitting proposals; and

describes the selection process and

evaluation criteria to be used to make

funding decisions. To obtain program

application materials, please contact the

Proposal Services Unit, Grants

Management Branch; Office of

Extramural Programs; USDA/CSREES at

(202) 401–5048. When calling the

Proposal Services Unit, please indicate

that you are requesting forms for the

Fund Program. These materials may also

be requested via Internet by sending a

message with your name, mailing

address (not e-mail) and phone number

to psb@reeusda.gov which states that

you want a copy of the application

materials for the Fiscal Year 1997 Fund

Program. The materials will then be

mailed to you (not e-mailed) as quickly

as possible.

Planning Grant Applications must be

received on or before March 24, 1997.

Planning Grant proposals received after

March 24, 1997, will not be considered

for funding.

Standard Project Grant Applications

must be received on or before April 28,

1997. Standard project proposals

received after April 28, 1997, will not be

considered for funding.

FOR FURTHER INFORMATION CONTACT: Dr.

Patrick O’Brien, Cooperative State

Research, Education, and Extension

Service, U.S. Department of Agriculture,

STOP 2240, Washington, D.C. 20250–

2240; telephone (202) 401–1761.

Table of Contents

Part I. General Information

A. Legislative Authority

B. General Definitions

C. Eligibility

D. Available Funds and Award Limitations

E. Matching Funds Requirement

Part II. Program Description

A. Purpose of the Program

B. Approach

C. Focus of the Program

D. Funding Mechanisms

Part III. Preparation of a Proposal

A. Program Application Materials

B. Content of a Proposal

Part IV. Submission of a Proposal

A. What to Submit

B. Where and When to Submit

C. Acknowledgment of Proposals

Part V. Selection Process and Evaluation

Criteria

A. Selection Process

B. Technical Evaluation Criteria

C. Relevance Review

Part VI. Supplementary Information

A. Access to Peer Review Information

B. Grant Awards

C. Use of Funds; Changes

D. Other Federal Statutes and Regulations

That Apply

E. Confidential Aspects of Proposals and

Awards

Part I. General Information

A. Legislative Authority

The Fund for Rural America (The

Fund), authorized under Section 793 of

the Federal Agriculture Improvement

and Reform Act of 1996 (FAIR Act) (7

U.S.C. 2204(f)), is established as an

account in the Treasury of the United

States. The Fund will provide $100

million in each of three years for rural

development programs and a

competitive grant program for research,

education, and extension activities. Not

less than one-third of the funds will be

available for research, education, and

extension activities, one-third will be

available for the Department’s rural

development programs, and one-third

will be allocated between the rural

development and research activities

according to the Secretary’s discretion.

Grants are to be awarded on the basis

of merit, quality, and relevance to

advancing the purposes of federally

supported agricultural research,

extension, and education provided in

Section 1402 of the National

Agricultural Research, Extension, and

Teaching Policy Act of 1977, as

amended (7 U.S.C. 3101). Section 1402

identifies the following purposes:

‘‘(1) Enhance the competitiveness of

the United States agriculture and food

industry in an increasingly competitive

world environment;

(2) Increase the long-term

productivity of the United States

agriculture and food industry while

maintaining and enhancing the natural

resource base on which rural America

and the United States agricultural

economy depend;

(3) Develop new uses and new

products for agricultural commodities,

such as alternative fuels, and develop

new crops;

(4) Support agricultural research and

extension to promote economic

opportunity in rural communities and to

meet the increasing demand for

information and technology transfer

throughout the United States agriculture

industry;

(5) Improve risk management in the

United States agriculture industry;

(6) Improve the safe production and

processing of, and adding of value to,

United States food and fiber resources

using methods that maintain the balance

between yield and environmental

soundness;

(7) Support higher education in

agriculture to give the next generation of

Americans the knowledge, technology,

and applications necessary to enhance

the competitiveness of United States

agriculture; and

(8) Maintain an adequate, nutritious,

and safe supply of food to meet human

nutritional needs and requirements.’’

Section 793(c)(2)(A) of the FAIR Act

authorizes the Secretary to use the Fund

for competitive research, education, and

extension grants to:

‘‘(i) Increase international

competitiveness, efficiency, and farm

profitability;

(ii) Reduce economic and health risks;

(iii) Conserve and enhance natural

resources;

(iv) Develop new crops, new crop

uses, and new agricultural applications

of biotechnology;

(v) Enhance animal agricultural

resources;

(vi) Preserve plant and animal

germplasm;

(vii) Increase economic opportunities

in farming and rural communities; and

(viii) Expand locally-owned, valueadded processing.’’

B. General Definitions

For the purpose of awarding grants

under this program, the following

definitions and applicable:

(1) Administrator means the

Administrator of the Cooperative State

Research, Education, and Extension

Service (CSREES) and any other officer

or employee of the Department to whom

the authority involved may be

delegated.

(2) Authorized departmental officer

means the Secretary or any employee of

the Department who has the authority to

issue or modify grant instruments on

behalf of the Secretary.

(3) Authorized organizational

representative means the president or
Federal Register / Vol. 62, No. 19 / Wednesday, January 29, 1997 / Notices 4383

chief executive officer of the applicant

organization or the official, designated

by the president or chief executive

officer of the applicant organization,

who has the authority to commit the

resources of the organization.

(4) Budget period means the interval

of time (usually 12 months) into which

the project period is divided for

budgetary and reporting purposes.

(5) Cash contributions means the

applicant’s cash outlay, including the

outlay of money contributed to the

applicant by non-Federal third parties.

(6) College or university means an

educational institution in any State

which admits as regular students only

persons having a certificate of

graduation from a school providing

secondary education, or the recognized

equivalent of such a certificate, is

legally authorized within such State to

provide a program of education beyond

secondary education, provides an

educational program for which an

associate’s degree, a bachelor’s degree or

any other higher degree is awarded, is

a public or other nonprofit institution,

and is accredited by a nationally

recognized accrediting agency or

association.

(7) Core initiative means the programs

encompassing the one-third of The

Fund designated for research,

education, and extension activities in

the following areas: international

competitiveness, profitability, and

efficiency; environmental stewardship;

and rural community enhancement.

(8) Department or USDA means the

United States Department of

Agriculture.

(9) Grant means the award by the

Secretary of funds to a Federal research

agency, a national laboratory, a college

or university or a research foundation

maintained by a college or university, or

a private research organization to assist

in meeting the costs of conducting, for

the benefit of the public, an identified

project which is intended and designed

to accomplish the purpose of the

program as identified in this guidelines.

(10) Grantee means the organization

designated in the grant award document

as the responsible legal entity to which

a grant is awarded.

(11) Matching means that portion of

allowable project costs not borne by the

Federal Government, including the

value of in-kind contributions.

(12) Peer review panel means a group

of experts qualified by training and

experience in particular fields to give

expert advice on the merit of grant

applications in such fields, who

evaluate eligible proposals submitted to

this program in their personal area(s) of

expertise.

(13) Private research organization

means any non-governmental

corporation, partnership,

proprietorship, trust, or other

organization with an established and

demonstrated capacity to perform

research or technology transfer which

(1) conducts any systematic study

directed toward new or fuller

knowledge and understanding of the

subject studied, or (2) systematically

relates or applies the findings of

research or scientific experimentation to

the application of new approaches to

problem solving, technologies, or

management practices; and (3) has

facilities, qualified personnel,

independent funding, and prior projects

and accomplishments in research or

technology transfer.

(14) Project director means the single

individual designated by the grantee in

the grant application and approved by

the Secretary who is responsible for the

direction and management of the

project.

(15) Prior approval means written

approval evidencing prior consent by an

authorized departmental officer as

defined in (2) above.

(16) Project means the particular

activity within the scope of the program

supported by a grant award.

(17) Project period means the period,

as stated in the award document and

modifications thereto, if any, during

which Federal sponsorship begins and

ends.

(18) Secretary means the Secretary of

Agriculture and any other officer or

employee of the Department to whom

the authority involved may be

delegated.

(19) Smaller institution means a

college or university or a research

foundation maintained by a college or

university that ranks in the lower onethird of such institutions on the basis of

Federal research funds received

(excepting monies received under the

Fund).

(20) The Fund means the Fund for

Rural America.

(21) Third party in-kind contributions

means non-cash contributions of

property or services provided by nonFederal third parties, including real

property, equipment, supplies and other

expendable property, directly benefiting

and specifically identifiable to a funded

project or program.

C. Eligibility

Proposals may be submitted by

Federal research agencies, national

laboratories, colleges or universities or

research foundations maintained by a

college or university, or private research

organizations. National laboratories

include Federal laboratories that are

government-owned contractor-operated

or government-owned governmentoperated. If the applicant is a private

organization, documentation must be

submitted establishing that the private

organization has an established and

demonstrated capacity to perform

research or technology transfer. A

programmatic decision on the eligibility

status of the private organization will be

made based on the information

submitted.

D. Available Funds and Award

Limitations

Under this program, subject to the

availability of funds, the Secretary may

award competitive grants, for periods

not to exceed five years, for the support

of research, education, and extension

projects to further the programs of the

USDA. The first allocation to the Fund

from the U.S. Treasury is $100,000,000

on January 1, 1997. No less than onethird of the amount must be used for

competitively awarded research,

education, and extension grants. Funds

for the competitive grants program are

available to the Department for award

during a two-year period. The

Department expects to award

approximately $33,464,400 as grants to

meritorious eligible applicants under

this request for proposals (RFP),

including all funds designated for the

Secretary’s Initiative. A subsequent RFP

for Fund for Rural America (FRA)

Centers will be issued for not more than

$7,584,000 of FY 1997 funds.

Funds, not to exceed one percent of

total available funds, will be used to

support the Planning Grants for FRA

Centers. Proposals may be submitted for

Center Planning Grants up to $25,000

per proposed FRA Center for a

maximum project period of six months;

and Standard Project Grants up to

$600,000 per project for a maximum

project period of four years. Note that

CSREES will solicit Center grant

applications only from those applicants

who are successful in receiving a Center

Planning Grant. Thus, applicants

intending to submit a Center proposal

should register that intention by

submitting a Center Planning Grant

application.

Not less than 15 percent of the funds

awarded under this program for

research, education, and extension

activities under the Core Initiative and

the Secretary’s Initiative will be used for

grants to colleges, universities, or

research foundations maintained by a

college or university that rank in the

lowest one-third of such entities based

on Federal research funds received
4384 Federal Register / Vol. 62, No. 19 / Wednesday, January 29, 1997 / Notices

(excepting monies received under the

Fund).

Funds awarded under this RFP may

not be used for the construction of a

new building or the acquisition,

expansion, remodeling, or alteration of

an existing building.

E. Matching Funds Requirement

A grant awarded for applied research

that is commodity-specific and that is

not of national scope must be matched

by the recipient with equal funds from

a non-Federal source. The matching

requirement may be satisfied through

allowable costs incurred by the

recipient or subrecipient and through

third party in-kind contributions.

There is no matching requirement for

other grants awarded under this RFP.

Part II. Program Description

A. Purpose of the Program.

The creation of the Fund coincides

with fundamental reforms to Federal

farm programs. Commodity program

deficiency payments are eliminated and

replaced with transition payments that

are to decline over seven years. These

policy changes are likely to have

substantial impacts on production

agriculture, most apparently by shifting

price and income risk management

away from government programs to

farmers themselves.

At the same time, rural communities

are experiencing the effects of transition

due to changes in Federal natural

resource policy, demographic shifts and

increasing globalization. Farming is no

longer the dominant source of economic

activity in rural America. Most rural

jobs are found in manufacturing, service

or government. The natural resource

base of rural areas often is valued more

for its amenities as a place to retire,

recreate and reside than it is for

extractive industrial development such

as timber harvesting and mining as

demonstrated by recent population

gains in high amenity communities.

Changes in international trade policy

may have put pressure on low-skill rural

jobs from overseas competitors.

Given the dynamic changes and

challenges facing agriculture and rural

communities in general, The Fund

provides a short-term opportunity (3

years) to invest in unique, innovative,

high-impact research, education, and

extension programs and projects to aid

farmers, ranchers, and rural

communities during this time of

transition to place themselves in a more

competitive position for the future. As

a new and distinct element in USDA’s

portfolio of research, education, and

extension programs, The Fund can

mobilize the agricultural knowledge

system to respond to the emerging

problems faced by agricultural

producers and rural communities

during this time of change.

The Fund provides an opportunity to

develop a new program to complement

USDA’s existing portfolio of

fundamental and applied research,

extension, and higher education

programs. The Fund allows, for the first

time, the integration of research,

education, and extension activities for

joint funding. Successful application

and adoption of research findings

requires explicit coordination with

education and extension activities. The

Fund will encourage collaboration

among educators, research scientists,

and extension personnel to jointly

identify and solve problems relevant to

rural communities. The aim of The

Fund is to advance the findings of

research into practical applications to

address current and emerging problems

and to develop new opportunities for

the benefit of rural America and the

nation.

B. Approach

Approaches to be Encouraged: The

Fund will be available for applied,

developmental, and adaptive research;

technology transfer; extension and

related outreach activities; and

education. Projects will be awarded for

short- and intermediate-term

application of existing investments in

research and development (R&D)

through integration of research,

extension, and education activities. The

Fund grants program will emphasize

biological, physical, and social sciences

to address systems-based problems. This

requires involvement of affected parties

within the system (such as producers,

commodity groups, environmental

interests, rural communities, and other

program beneficiaries); therefore, The

Fund will give priority to projects that

are designed and proposed by eligible

grant recipients in collaboration with

institutions, organizations, and

communities of interest. Strong

partnerships will be critical to leverage

and apply research, education, and

extension investments to address user

needs and solve community-defined

problems.

For the purposes of assessing

proposals submitted to The Fund, the

following priorities will apply:

A Systems-based approach takes a

broad rather than reductionist view, and

thus describes how a set of elements or

components are related and how those

relationships are relevant to problematic

situations. The Fund strongly

encourages research, extension, and

education activities that explicitly

recognize, account for, and enhance the

interactions among agricultural,

forestry, or agribusiness activities,

natural resource or environmental

quality, and economic or community

well being.

Inter- or multidiciplinary approaches

integrate or combine separate

discoveries by scientists in different

disciplines that can have their greatest

potential value realized when related to

one another. For example, findings from

genetics, plant physiology, crop

breeding, and economics are relevant to

exploring alternatives for making crops

more disease resistant without

sacrificing other valued attributes and

characteristics. The Fund strongly

encourages proposals that integrate the

findings or knowledge of multiple

disciplines in order to gain the

comprehensive understanding needed

to solve complex problems.

Leveraging prior investments in

research and technology development

(R&D) is essential to maximizing the

impact of The Fund. Many federal

research grant programs support basic

research (the creation of new

knowledge) or fundamental technology

development (the development of

prototypes or broadly applicable

technologies). Although the private

sector also has a relatively large role in

applied research and more specific

technology development, there are

many research findings and new

technologies that remain unexploited as

keys to resolving natural resource

management and other problems of

agricultural, forest, and rural systems

and that therefore require public

support. The Fund strongly encourages

proposals that: (1) take advantage of

prior R&D investments in adapting those

findings to actual production,

processing, marketing, environmental,

or community systems, and (2)

investigate and propose solutions to

overcoming barriers to adoption of new

or improved technologies, particularly

those technologies with the potential to

resolve natural resource and

environmental quality problems in

agricultural and forest systems.

Innovative collaborations and

partnerships are those designed to build

sustainable solutions to agricultural and

rural problems through community

participation. Communities may include

geographic locations, as well as broad

communities of interest such as

commodity groups, consumer and

environmental interests, agricultural

producers, and other research,

education, and extension users and

beneficiaries. It is increasingly

recognized that long-run solutions to
Federal Register / Vol. 62, No. 19 / Wednesday, January 29, 1997 / Notices 4385

agricultural and community issues

require inclusive approaches

encompassing diverse individuals and

groups affected by the issue and the

potential solutions. The Fund strongly

encourages proposals that: (1) use

collaborations and partnerships among

institutions (including Federal agencies,

national laboratories, established

research organizations, and colleges and

universities including community

colleges and tribal colleges, as well as

state agencies, associations and other

interests) to build and enhance effective

linkages with local communities, user

groups, and their grass-roots leadership,

and (2) bring together diverse

organizations and interests to derive

innovative approaches to problems and

forge partnerships for the future.

C. Focus of the Program

The Fund entails two initiatives: (1)

The Fund Care Initiative which

addresses and links international

competitiveness, profitability, and

efficiency; environmental stewardship;

and rural community enhancement and,

(2) The Secretary’s Initiative to Ensure

a Safe, Competitive, Nutritional and

Accessible Food System.

1. The Fund Core Initiative

Proposals will be solicited at three

levels: (1) single issue areas that address

barriers to solving systemic problems;

(2) projects that include approaches at

the intersection of two sets of issues;

and (3) projects that address issues that

relate all of the issue areas. Standard

grant proposals may include

multinational collaborations. At the

fully integrated level, consortia, centers,

and other multi-institutional

collaborations will be considered.

The Fund will seek project proposals

that will provide solutions to problems

and advance new opportunities within

three objectives that encompass the

eight purposes of the enabling

legislation (FAIR Act Section

703(c)(2)(A)), including:

(1) International competitiveness,

profitability, and efficiency. This set of

objectives centers on issues and

opportunities arising from the changes

in farm and trade legislation leading to

globalization of markets in food, feed,

and fiber, including exposure to risk,

barriers to trade, and new market

opportunities. In addition, it will

address plant and animal systems and

new technologies and management

practices, particularly those which

improve farm efficiency and

profitability. This program incorporates

the following purposes included in The

Fund provisions of the FAIR Act: (1)

increase international competitiveness,

efficiency, and farm profitability; (2)

reduce economic and health risks; (4)

develop new crops, new crop uses, and

new agricultural applications of

biotechnology; (5) enhance animal

agriculture resources; (6) preserve plant

and animal germplasm. This set of

objectives also may contribute to

achieving purposes (7) increase

economic opportunities in farming and

rural communities, and (8) expand

locally-owned, value-added processing,

of the enabling legislation.

Examples of potential research,

education, and extension activities

include, but are not limited to:

—Applied and adaptive research to

develop new crops for value-added

processing, to meet emerging markets,

and increase flexibility and

responsiveness to risk.

—Research to improve the science base

for and compliance with sanitary and

phytosanitary standards for meat and

other agricultural and food products

in international trade; integration of

this with analysis of trade

opportunities and barriers.

—Development and testing of new

curricula to internationalize academic

programs in agriculture, natural

resources, and related sciences.

—Extension to improve producers’ risk

management knowledge, skills, and

practices.

(2) Environmental stewardship. This

set of objectives focuses on stewardship

of the natural resource base underlying

agriculture and forestry, as well as the

amenity-based economic activities of

rural communities. Several issues in

this area include groundwater

contamination; wildlife habitat loss; air

and water pollution from agricultural

activities, including animal waste; and

soil erosion and decline in quality. It

addresses the following purposes of the

legislation: (3) conserve and enhance

natural resources; (4) develop new

crops, new crop uses, and new

agricultural applications of

biotechnology; and (6) preserve plant

and animal germplasm.

Examples of potential research,

education, and extension activities

include, but are not limited to:

—Adoptive research to develop new

strategies for animal waste

management such as utilizing

advances in genetics to directly and

indirectly (through feeds) reduce

environmental contaminants in

animal waste.

—Technology development for mass

rearing of biological control agents

along with grower education.

—Extension on new water-efficient

farming practices.

—Economic analysis of the amenity

value of forests, wildlife and the

biological landscape.

—Utilizing agroecosystems to line

agricultural and natural resource

education.

(3) Rural Community enhancement.

This objective seeks to address the

problems of outmigration, persistent

poverty, unemployment, and low-skill

and low-wage jobs in rural

communities. Rural community

enhancement objectives also include

quality of life issues such as the cost

and availability of services in rural

areas, particularly those that influence

health risks. This objective also could be

achieved through the development of

new crops, new crop uses and locallyowned, valued-added processing as

rural economic development strategies

in natural resource and agriculturallybased areas. This objective links farm

and forest profitability to innovative

practices, and crops and crop uses to

community advancement. This issue set

can address a broad range of purposes

in The Fund including (1) increase

international competitiveness,

efficiency, and farm profitability; (2)

reduce economic and health risks; (4)

develop new crops, new crop uses, and

new agricultural applications of

biotechnology; (7) increase economic

opportunities in farming and rural

communities; and (8) expand locallyowned, value-added processing.

Examples of potential research,

education, and extension activities

include, but are not limited to:

—Local leadership development.

—Technology transfer models for

linking advances in research to job

growth, waste management and

related challenges.

—Extension approaches to community

strategic planning for jobs, resources,

services, and economic stability.

—Risk assessment of vulnerabilities of

rural, and isolated elderly and poor.

—Innovations in delivery of education

and information in rural areas.

BILLING CODE 3410–22–M
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BILLING CODE 3410–22–C

Today’s most pressing problems and

emerging issues contain elements of

each of the three constellations of issues

to be addressed through The Fund, and

are found at the intersections of the

three areas. The essential character of

The Fund competitive grants program is

defined by emphasis on the

intersections of problems. The greatest

challenge to agriculture and rural

America is trying to solve problems in

the context of related issues. For

example, community economic

development strategies based on

extraction of natural resources come

into conflict with environmental

conservation. The use of no-till soil

conservation methods is suspected to be

resulting in vomitoxin in wheat,

jeopardizing U.S. wheat exports.

Increasing global competitiveness can

result in loss of low-skill jobs in rural

communities. The Fund competitive

grants program will give highest priority

to projects which address multiple,

contextual issues; it will also support

activities to overcome barriers in

knowledge or technology which will

enable solutions to complex,

interrelated issues.

2. The Secretary’s Initiative to Ensure a

Safe, Competitive, Nutritional and

Accessible Food System

Providing food that is nutritious, safe,

affordable and accessible is vital to

agricultural production, to human

health, and to the maintenance of the

U.S. economy. Therefore the Secretary

of Agriculture has set aside an

additional $10 million (approximately

$9.4 million net) of the Fund to support

research, education, and extension

activities that hold exceptional promise

to provide needed information and

education in the following areas:

1. Research, technology transfer, and

education for small meat and poultry

processors to implement HACCP

regulations for the control of hazardous

pathogens. In July 1996, the USDA Food

Safety and Inspection Service (FSIS)

issued final regulations to strengthen

food safety controls in meat and poultry

processing through a system known as

Hazard Analysis and Critical Control

Points (HACCP). HACCP requires meat

and poultry processors to develop

systematic plans for controlling

physical, chemical and biological

hazards, including microbial hazards in

their processing plants. The deadline for

compliance for ‘‘small’’ processing

plants (between 10 to 499 employees) is

1999. The deadline for ‘‘very small’’

processing plants (less than 10

employees or with annual sales under

$2.5 million) is the year 2000.

According to FSIS, about 8,300 small

and very small processing plants will be

affected. The resources and capabilities

necessary for implementation of HACCP

are limited by the size of these firms.

They will need research-based

educational assistance to comply with

the regulations in order to continue

producing a safe product. Assistance

through the Fund will ensure that these

firms stay competitive in the meat

processing industry and provide farmers
Federal Register / Vol. 62, No. 19 / Wednesday, January 29, 1997 / Notices 4387

and ranchers with competitive

marketing outlets for their livestock.

Examples of potential research,

education and extension activities

include, but are not limited to:

—Assessment of educational needs of

small and very small plants to achieve

HACCP implementation.

—Analysis of the hazards unique to

small and very small plants including

biological, chemical, or physical risks.

—Applied and adaptive research on the

control of microbials and related

hazards, particularly in small plants.

—Training on monitoring protocols and

recordkeeping to trace contamination

to its source.

—Development and delivery of

guidance and educational materials,

methods and programs.

2. Research, education, and extension

to improve the competitive position of

small, independent livestock producers

in an increasingly concentrated market.

Increasing specialization and rapid

growth in the meat packing industry has

created a market situation with four

large firms slaughtering about 80

percent of the fed cattle in the United

States. A similar level of concentration

exists in the lamb industry and

concentration in the hog industry is

increasing. Farmers need access to

current market information and the

most up-to-date marketing tools to

market livestock to their best advantage.

USDA is making changes in its

regulatory programs and market price

reporting in response to

recommendations from the USDA

Advisory Committee on Agricultural

Concentration. An increased emphasis

on review of industry trade practices

and competition in the industry is

underway. At the same time, the Fund

research, education and extension

programs will supplement regulatory

efforts by providing independent

producers with knowledge, skills, and

technologies that will enable them to

remain profitable and competitive in the

livestock market.

Alternative marketing tools and new

market outlets are needed to keep small

sellers competitive in the livestock

industry. Production technologies and

management systems appropriate for

smaller sellers are needed to identify

and enhance the competitive position of

small sellers. For example, small sellers

may have the ability to meet a growing

number of niche markets for specialized

meat products. Research, education, and

extension is needed to test this

potential. Emphasis will be given to the

needs of small and moderate-sized

livestock producers.

Examples of potential research,

education and extension activities

include, but are not limited to:

—Research, development and on-farm

extension education about low-cost

production facilities, such as hoop

housing for swine production,

combined with management systems

and genetics appropriate to these

facilities.

—Research and extension on

management-intensive grazing

systems for beef and dairy production

to realize potential for reduced capital

and feed costs through greater use of

management skills for optimizing

labor availability and the natural

benefits of grazing pastures.

—Research and extension on integrated

crop and livestock systems. Smaller,

more diversified farms typically

integrate ‘‘economies of scope’’

compared to larger, industrialized

farms that concentrate on

specialization and ‘‘economies of

scale.’’ Research and extension

education to enhance crop and

livestock integration in ways that

increase efficiencies, reduce costs and

prevent environmental pollution can

strengthen the competitive position of

small producers.

—Economic analysis and market

feasibility studies are needed to

identify new and expanded market

opportunities where small producers

would have tools and strategies to

meet consumer demand (both

domestic and international) for

specialized, lean or natural meats and

specialized value-added products.

Opportunities for cooperative

marketing and value-added strategies

for meat production and processing

could be explored and demonstrated

through innovative extension and

outreach programs.

—Technology assessment comparing the

technological resources of large,

specialized producers with the

technological needs of small

producers to identify and transfer

existing technology across all sizes

and scales and/or identify the specific

research and education needs of each.

—Analysis to evaluate the economic

impact of integrator’s practices and

procedures on contract poultry

growers. Greater understanding of the

underlying economics in the poultry

industry is needed to guide policy

development. Research and analysis

is needed to examine the growers’

investments, length of contracts,

exposure to early termination, other

risks, operating characteristics (e.g.,

type of poultry houses, equipment

and layout periods), operating costs

by type of cost (labor, capital, fuels,

utilities, dead bird disposal, etc.),

responsibility for costs (grower or

integrator), productivity, revenue and

contract settlements.

—Development of new research

methods and procedures to collect

necessary data and measures for

reporting of line-of-business profits

for meat packers. Detailed financial

and statistical data are needed to

generate meaningful industry

performance indicators, such as

profitability, procurement expense,

selling expense, research and

development costs, and various

financial ratios. The collection of

appropriate data is needed for

economic analysis of industry

structure, conduct and performance

issues. Cost allocations, revenue

allocations, definitions of lines of

business, and frequency of reporting

are examples of issues needing

research.

3. Research, education and extension

to identify and utilize phytonutrients

with cancer-prevention potential in the

design of functional foods for disease

prevention. Current research on cancer

and diet linkages has led to the

identification of over 600 plant-derived

chemicals (phytochemicals, or

phytonutrients) along with non-nutrient

plant components with cancerprevention potential. These include

anti-oxidants such as beta carotene and

vitamins E and C. Further research is

needed to understand the independent

and interactive effects of phytonutrients

and to identify additional protective

components. Genetic engineering

techniques make it possible to transfer,

enhance or suppress specific genes from

one plant species to another for the

development of ‘‘functional foods.’’

Functional foods refers to any modified

food or food ingredient with the

potential to provide a health benefit and

to prevent against disease. Congress

called for greater research efforts to

develop new varieties of fruits and

vegetables for the prevention of dietrelated diseases in the FAIR Act Sec.

1424A, Pilot Research Program to

Combine Medical and Agricultural

Research.

Following on the research

recommendations outlined by the

Institute of Medicine of the National

Academy of Sciences, examples of

potential research, education and

extension activities include, but are not

limited to:

—Research to create foods that have

increased amounts of the beneficial

components found in fruits,

vegetables and grains.
4388 Federal Register / Vol. 62, No. 19 / Wednesday, January 29, 1997 / Notices

—Methods to monitor the effectiveness

of functional foods on improving

health and preventing diseases.

—Research and analysis to support the

issuance of regulatory guidelines to

ensure the safety and efficacy of

functional food products.

—Research on food choice behavior

leading to extension and education

programs designed to increase the

intake of foods rich in phytonutrients.

4. Research, education and extension

to promote increased gleaning and food

recovery. The most commonly

referenced information on the loss and

waste of food at various stages of the

food system is based on 1974 data

assembled by the General Accounting

Office. This information does not reflect

current trends in food production,

transport, storage, acquisition or

consumption patterns and preferences—

all of which have significantly changed

over the past two decades.

Examples of research, education and

extension activities include, but are not

limited to:

—Current information concerning the

source(s) of greatest loss in order to

facilitate an expansion in gleaning

and food recovery activities.

—Research and extension efforts to

develop and implement mechanisms

such as community-operated

canneries or dehydration facilities to

extend the ‘‘shelf life’’ of recovery

food.

—Extension education and outreach to

provide food safety training in safe

food handling practices for

organizations involved in gleaning

and food recovery programs.

E. Funding Mechanisms

Two funding mechanisms will be

utilized to support projects under this

REFP: (1) Standard Program Grants (for

The Fund Core Initiative and The

Secretary’s Initiative), (2) Planning

Grants for Fund for Rural America

(FRA) Centers (for the Fund Core

Initiative only).

Standard Project Grants

Opportunities for research, education

and extension in the aforementioned

areas of the Fund Core Initiative and the

Secretary’s Initiative have been

underscored as a means of providing

exceptional promise for solving current

and unforeseen problems in rural

communities and agriculture.

Successful Standard Project Grants will

form the basis of The Fund by bringing

a broad array of expertise and

approaches to individual or

collaborative efforts in specified

problem areas and/or which relate two

or more of the issue areas described in

the Fund Core Initiative. Standard

Project Grants may involve separate

research, education, and extension

activities to fill gaps in knowledge or

programs which constitute barriers to

contextual problem solving. The Fund

emphasizes multi-functional, integrated

problem solving, however. See

‘‘Preparation of a Proposal’’ section for

details on Standard Project Grant

application requirements.

Planning Grants for a FRA Center

CSREES intends to assist eligible

applicants as described in Part I.C. of

this RFP to establish centers that bring

together individuals, institutions, states

and/or regions in support of research,

education and extension in a

collaborative process towards a common

goal. An ‘‘FRA Center’’ is expected to

meet needs in agricultural research,

education and extension that cannot be

met through funding of separate efforts.

It is the intent of CSREES to promote

collaboration, open communication,

exchange of information and resources,

and integration of activities among

individuals, institutions, states or

regions now working independently

into coordinated efforts around common

themes that span institutional or

geographical boundaries. By supporting

Centers, CSREES will bring together a

critical mass of individuals and

expertise to address problems and

issues outlined to be important to rural

communities, producers, and the

agricultural enterprise. Centers will

minimize isolation and overcompetitiveness, reduce duplication of

effort, enhance multidisciplinary,

multifunctional and collaborative

efforts, and provide an accessible source

of expert information, technology, and

education upon which the public can

draw.

While FRA Centers should focus on

the purposes of the Fund, it is expected

that each Center will broadly span

functional areas and address problems

that bridge research, education and

extension. FRA Centers may focus on a

defined issue with multiple facets

which span the three main goals of the

Core Initiative, or may be established to

identify opportunities to solve problems

through broad strategies such as

technology transfer. Funding will be

provided to eligible applicants for the

management, administration and

technical operations of the Center;

however, construction, acquisition,

expansion, remodeling, or alteration of

facilities or buildings and purchase of

fixed equipment with Fund grant money

is prohibited.

In preparation for a subsequent

solicitation of Center applications,

CSREES will support a limited number

of FRA Center Planning Grants. The

purpose of Planning Grants will be to

provide up to $25,000 of funds to enable

project leaders to bring together the

necessary people and technology to plan

a Center application. By awarding

Center Planning Grants, CSREES will

enable a greater number of groups to be

at an equal stage of planning when the

solicitation for Center grants occurs,

allowing for the submission of high

quality Center applications. CSREES

will solicit Center applications only

from those applicants who are

successful in receiving a Center

Planning Grant. Thus, applicants

intending to submit an FRA Center

proposal should register that intention

by submitting a Center Planning Grant

Application. The current RFP Planning

Grants will support only the planning

stage of a FRA Center. It is expected that

Center applications will be solicited

approximately 4 to 6 months after

Center Planning Grants are awarded.

See ‘‘Preparation of a Proposal’’ section

for Centers Planning Grant application

requirements.

Part III. Preparation of a Proposal

A. Program Application Materials

Program application materials will be

made available to eligible entities upon

request. These materials include

information about the purpose of the

program, how the program will be

conducted, and the required contents of

a proposal, as well as the forms needed

to prepare and submit grant applications

under the program.

To obtain application materials,

please contact the Proposal Services

Unit, Grants Management Branch; Office

of Extramural Programs; USDA/CSREES

at (202) 401–5048. When calling the

Proposal Services Unit, please indicate

that you are requesting forms for the

Fund Program. These materials may also

be requested via Internet by sending a

message with your name, mailing

address (not e-mail) and phone number

to psb@reeusda.gov and state that you

want a copy of the application materials

for the Fiscal Year 1997 Fund for Rural

America Program. The materials will

then be mailed to you (not e-mailed) as

quickly as possible.

B. Content of a Proposal

A proposal should contain the

following:

1. Cover Page: Complete the

‘‘Application for Funding’’, Form

CSREES–661, in its entirety.

a. Note that providing a Social

Security Number is voluntary, but the

number is an integral part of the
Federal Register / Vol. 62, No. 19 / Wednesday, January 29, 1997 / Notices 4389

CSREES information system and will

assist in the processing of the proposal.

b. One copy of the ‘‘Application for

Funding’’ form must contain the penand-ink signatures of the project

director(s) and authorized

organizational representative for the

applicant organization.

c. Note that by signing the

‘‘Application for Funding’’ form the

applicant is providing the required

certifications set forth in 7 CFR Part

3017, as amended by 61 Federal

Register 250, January 4, 1996, regarding

Debarment and Suspension and DrugFree Workplace, and 7 CFR Part 3018,

regarding Lobbying. The certification

forms are included in this application

package for informational purposes

only. It is not necessary to submit the

forms to USDA.

2. Table of Contents: For ease in

locating information, each proposal

must contain a detailed Table of

Contents immediately after Form

CSREES–661, ‘‘Application for

Funding.’’ The Table of Contents should

include page numbers for each

component of the proposal. Pagination

should begin immediately following the

Table of Contents.

3. Project Summary: The proposal

must contain a project summary of 250

words or less on a separate page. This

page must include the title of the project

and the names of the primary project

director(s) and the applicant

organization, followed by the summary.

The summary should be self-contained,

and should describe the overall goals

and relevance of the project. The

summary should also contain a listing of

all organizations involved in the project.

The Project Summary should

immediately follow the Table of

Contents.

4. Project Narrative: All proposals are

to be submitted on standard 81⁄2′′ x 11′′

paper with typing on one side of the

page only. In addition, margins must be

at least 1′′, type must be 12 characters

per inch (12 pitch or 10 point) or larger,

no more than 6 lines per inch, and there

should be no page reductions. If

applicable, proposals should include

original illustrations (photographs, color

prints, etc.) in all copies of the proposal

to prevent loss of meaning through poor

quality reproduction. Such illustrations

are not included in the page limitation

for project narratives.

A. Standard Project Narrative

The narrative portion of the Standard

Project Proposal is limited to 20 pages

of text.

1. Introduction. A clear statement of

the goal(s) and objective(s) of the project

should be included. The problem

should be set within the context of work

that has come before it and in context

of the present-day situation. Summarize

the body of knowledge which

substantiates the need for the proposed

project. Preliminary information

pertinent to the proposed work should

also be cited.

2. Rationale and significance.

Substantiate the need for the proposed

project. Describe the impact of the

project on the end user. Describe the

project’s specific relationship to the

purposes of the Fund, to the purposes

of the National Agricultural Research,

Extension, and Teaching Policy Act of

1977, as amended (7 U.S.C. 3107), and

to the problem addressed.

3. Objectives and approach. Cite and

discuss the specific objective(s) to be

accomplished under the project. A

detailed description of the approach

must include:

∫Techniques and/or procedures used

to carry out the proposed activities and

for accomplishing the objectives

∫The results expected

∫Limitations

4. Time table. Tentative schedule for

conducting the major steps of the

project.

5. Evaluation. Provide a plan for

assessing and evaluating the

accomplishments of the stated

objectives during the conduct of the

project and describe ways to determine

the effectiveness of the end results upon

conclusion of the project.

6. Relationship to partners,

communities of interest, and

stakeholders. Describe how the project

will involve partners and communities

of interest. Describe how and by whom

the focus and scope of the project were

determined, how partners will be

involved during the course of the

project, and how end users will be

impacted by results. Clearly describe

how results and information will be

disseminated or transferred to end

users. Evidence that arrangements

necessary for collaborative partnerships

have been discussed with the parties

involved and can realistically be

expected to come to fruition, or have

actually been finalized contingent on an

award under this program, must be

provided via letters by the parties

involved. A letter from a university

must be signed by the dean or research

director, a representative of the

university’s central administration, or a

higher university official. A letter from

a business or industry must be signed by

an official who has the authority to

commit the resources of the

organization. Such letters should be

placed immediately following the

Project Narrative in the proposal.

7. Coordination and management

plan. Describe how the project will be

coordinated among the various

participants and clearly describe the

nature of the collaborations. Describe

plans for management of the project to

ensure its proper and efficient

administration.

B. Planning Grants for FRA Centers

Narrative

In preparing Center Planning Grants,

applicants should include the following

information in place of the information

identified in Part III.4.A.:

(1) Center Concept: Describe the

Center to be proposed, how the Center

fits within the objectives of the Fund,

how the Center bridges research,

education and/or extension, how the

Center will add value over funding of

separate efforts (2 pages maximum).

(2) Planning Activity: Describe the

activities to be included under the

planning portion of the Center activity.

Activities could include: meetings of

involved parties, forums to gain input

from communities of interest, review

and assessment of reports of agricultural

and rural communities strategic plans

and objectives, etc. (2 pages maximum).

(3) Collaborative Arrangements:

Identify collaborations and provide a

full explanation of the nature of the

collaborations (1 page maximum).

(4) Timetable: Describe how planning

activities can be completed in a four- to

six-month time period (expected length

of time between award of Center

Planning Grants and solicitation of

Center proposals).

5. Key Personnel: Identify the primary

project director and the co-project

director(s) and other key personnel

required for this project. Include vitae

that provide adequate information so

that proposal reviewers can make an

informed judgment as to their

capabilities and experience.

6. Conflict of Interest List: A Conflict

of Interest List must be provided for

individuals identified as key personnel.

Each list should be on a separate page

and include alphabetically the full

names of the individuals in the

following categories: (1) all collaborators

on projects within the past five years,

including current and planned

collaborations; (2) all co-authors on

publications within the past five years,

including pending publications and

submissions; (3) all persons in your

field with whom you have had a

consulting or financial arrangement

within the past five years who would

stand to gain by seeing the project

funded; and (4) all thesis or postdoctoral

advisees/advisors within the past five

years.
4390 Federal Register / Vol. 62, No. 19 / Wednesday, January 29, 1997 / Notices

7. Budget

A. Budget Form: Prepare the budget,

Form CSREES–55, in accordance with

instructions provided with the form. A

budget form is required for each year of

requested support. In addition, a

summary budget is required detailing

the requested total support for the

overall project period. The budget form

may be reproduced as needed by

applicants. Funds may be requested

under any of the categories listed on the

form, provided that the item or service

for which support is requested is

allowable under the authorizing

legislation, the applicable Federal cost

principles, and these program

guidelines, and can be justified as

necessary for the successful conduct of

the proposed project.

The following guidelines should be

used in developing your proposal

budget(s):

1. Salaries and Wages. Salaries and

wages are allowable charges and may be

requested for personnel who will be

working on the project in proportion to

the time such personnel will devote to

the project. If salary funds are requested,

the number of Senior and Other

Personnel and the number of CSREES

Funded Work Months must be shown in

the spaces provided. Grant funds may

not be used to augment the total salary

or rate of salary of project personnel or

to reimburse them for time in addition

to a regular full-time salary covering the

same general period of employment.

2. Fringe Benefits. Funds may be

requested for fringe benefit costs if the

usual accounting practices of your

organization provide that organizational

contributions to employee benefits

(social security, retirement, etc.) be

treated as direct costs. Fringe benefit

costs may be included only for those

personnel whose salaries are charged as

a direct cost to the project.

3. Nonexpendable Equipment.

Nonexpendable equipment means

tangible nonexpendable personal

property including exempt property

charged directly to the award having a

useful life of more than one year and an

acquisition cost of $5,000 or more per

unit. As such, items of necessary

instrumentation or other nonexpendable

equipment should be listed individually

by description and estimated cost.

In addition, pursuant to Section

716(b) of Pub. L. No. 104–180 (the

Agriculture, Rural Development, Food

and Drug Administration, and Related

Agencies Appropriations Act, 1997), in

the case of any equipment or product

that may be authorized to be purchased

with funds provided under this

program, entities receiving such funds

are encouraged to use such funds to

purchase only American-made

equipment or products.

4. Materials and Supplies. The types

of expendable materials and supplies

which are required to carry out the

project should be indicated in general

terms with estimated costs.

5. Travel. The type and extent of

travel and its relationship to project

objectives should be described briefly

and justified. If foreign travel is

proposed, the country to be visited, the

specific purpose of the travel, a brief

itinerary, inclusive dates of travel, and

estimated cost must be provided for

each trip. Airfare allowances normally

will not exceed round-trip jet economy

air accommodations. U.S. flag carriers

must be used when available. See 7 CFR

Part 3015.205(b)(4) for further guidance.

6. Publication Costs/Page Charges.

Anticipated costs of preparing and

publishing results of the research being

proposed (including page charges,

necessary illustrations, and the cost of a

reasonable number of coverless reprints)

may be estimated and charged against

the grant.

7. Computer (ADPE) Costs.

Reimbursement for the costs of using

specialized facilities (such as a

university- or department-controlled

computer mainframe or data processing

center) may be requested if such

services are required for completion of

the work.

8. All Other Direct Costs. Anticipated

direct project charges not included in

other budget categories must be

itemized with estimated costs and

justified on a separate sheet of paper

attached to Form CSREES–55. This also

applies to revised budgets, as the item(s)

and dollar amount(s) may change.

Examples may include space rental at

remote locations, subcontractual costs,

and charges for consulting services. You

are encouraged to consult the

‘‘Instructions for Completing Form

CSREES–55, Budget,’’ of the

Application Kit for detailed guidance

relating to this budget category.

9. Indirect Costs. If requested, the

current rate negotiated with the

cognizant Federal negotiating agency

should be used. Indirect costs may not

exceed the negotiated rate. If no rate has

been negotiated, a reasonable dollar

amount in lieu of indirect costs may be

requested, which will be subject to

approval by USDA. In that grants

supported by The Fund may include

numerous activities other than

traditional instruction or research, the

institution may choose to request rates

that are lower than the institution’s

approved negotiated research or

instructional rate. Center Planning

Grants may request indirect costs up to

a maximum of 8% of Total Federal

Funds Awarded for this project.

Applications from colleges and

universities that are not submitted

through an Office of Sponsored

Programs (or equivalent thereto) must

provide a statement in the budget

narrative verifying that the indirect

costs requested are in accordance with

institutional policies.

B. Matching Funds (if required)

(1) Proposals must include written

verification of commitments of

matching support (including both cash

and in-kind contributions) from third

parties. Written verification means:

(a) For any third party cash

contributions, a separate pledge

agreement for each donation, signed by

the authorized organizational

representatives of the donor

organization and the applicant

organization, which must include: (1)

The name, address, and telephone

number of the donor; (2) the name of the

applicant organization; (3) the title of

the project for which the donation is

made; (4) the dollar amount of the cash

donation; and (5) a statement that the

donor will pay the cash contribution

during the grant period; and

(b) For any third party in-kind

contributions, a separate pledge

agreement for each contribution, signed

by the authorized organizational

representatives of the donor

organization and the applicant

organization, which must include: (1)

the name, address, and telephone

number of the donor; (2) the name of the

applicant organization; (3) the title of

the project for which the donation is

made; (4) a good faith estimate of the

current fair market value of the in-kind

contribution; and (5) a statement that

the donor will make the contribution

during the grant period.

(2) The sources and amount of all

matching support from outside the

applicant institution should be

summarized on a separate page and

placed in the proposal immediately

following the budget form. All pledge

agreements must be placed in the

proposal immediately following the

summary of matching support.

(3) In order to use a cost as matching

support, the cost must be allowable

under the program.

c. Budget Narrative: All salaries and

wages, nonexpendable equipment,

foreign travel, subcontracts, and ‘‘All

Other Direct Costs’’ for which support is

requested must be individually listed

(with costs) and justified on a separate

sheet of paper and placed immediately

behind Form CSREES–55.
Federal Register / Vol. 62, No. 19 / Wednesday, January 29, 1997 / Notices 4391

8. Current and Pending Support: All

proposals must contain Form CSREES–

663 listing other current public or

private support (including in-house

support) to which key personnel

identified in the proposal have

committed portions of their time,

whether or not salary support for

person(s) involved is included in the

budget. Analogous information must be

provided for any pending proposals that

are being considered by, or that will be

submitted in the near future to, other

possible sponsors, including other

USDA programs or agencies. Concurrent

submission of identical or similar

proposals to the possible sponsors will

not prejudice proposal review or

evaluation by the Administrator for this

purpose. However, a proposal that

duplicates or overlaps substantially

with a proposal already reviewed and

funded (or that will be funded) by

another organization or agency will not

be funded under this program.

9. Assurance Statement(s), (Form

CSREES–662): A number of situations

encountered in the conduct of projects

require special assurances, supporting

documentation, etc., before funding can

be approved for the project. In addition

to any other situation that may exist

with regard to a particular project, it is

expected that some applications

submitted in response to these

guidelines will involve the following:

1. Recombinant DNA or RNA

Research. As stated in 7 CFR Part

3015.205(b)(3), all key personnel

identified in the proposal and all

endorsing officials of the proposing

organization are required to comply

with the guidelines established by the

National Institutes of Health entitled,

‘‘Guidelines for Research Involving

Recombinant DNA Molecules,’’ as

revised. If your project proposes to use

recombinant DNA or RNA techniques,

the application must so indicate by

checking the ‘‘yes’’ box in Block 19 of

Form CSREES–661 (‘‘Application for

Funding’’) and by completing Section A

of Form CSREES–662. For applicable

proposals recommended for funding,

Institutional Biosafety Committee

approval is required before CSREES

funds will be released.

2. Animal Care. Responsibility for the

humane care and treatment of live

vertebrate animals used in any grant

project supported with funds provided

by CSREES rests with the performing

organization. Where a project involves

the use of living vertebrate animals for

experimental purposes, all key project

personnel identified in a proposal and

all endorsing officials of the proposing

organization are required to comply

with the applicable provisions of the

Animal Welfare Act of 1966, as

amended (7 U.S.C. 2131 et seq.) and the

regulations promulgated thereunder by

the Secretary in 9 CFR Parts 1, 2, 3, and

4 pertaining to the care, handling, and

treatment of these animals. If your

project will involve these animals or

activities, you must check the ‘‘yes’’ box

in Block 20 of Form CSREES–661 and

complete Section B of Form CSREES–

662. In the event a project involving the

use of live vertebrate animals results in

a grant award, funds will be released

only after the Institutional Animal Care

and Use Committee has approved the

project.

3. Protection of Human Subjects.

Responsibility for safeguarding the

rights and welfare of human subjects

used in any grant project supported

with funds provided by CSREES rests

with the performing organization.

Guidance on this issue is contained in

the National Research Act, Pub. L. No.

93–348, as amended, and implementing

regulations promulgated by the

Department under 7 CFR Part 1c. If you

propose to use human subjects for

experimental purposes in your project,

you should check the ‘‘yes’’ box in

Block 21 of Form CSREES–661 and

complete Section C of Form CSREES–

662. In the event a project involving

human subjects results in a grant award,

funds will be released only after the

appropriate Institutional Review Board

has approved the project.

10. CRIS Forms AD–416 and AD–417:

In order to document projects in the

Current Research Information System’s

(CRIS) data base, CSREES requires the

submission of the CRIS Forms AD–416

and AD–417 prior to the release of grant

funds. Only one completed copy of each

form must be submitted with the

original pen-and-ink copy of the

proposal. Fields 1, 19, 20, 21, 28, 29, 30

and ‘‘Duration’’ should be left blank, as

these will be completed by CSREES

upon award. CSREES will not release

funds for the proposed award until the

completed CRIS forms are received;

therefore, prompt action on this

requirement is essential for the

initiation of the project.

11. Compliance with the National

Environmental Policy Act (NEPA): As

outlined in 7 CFR Part 3407 (the

Cooperative State Research, Education,

and Extension Service regulations

implementing NEPA), the

environmental data for any proposed

project is to be provided to CSREES so

that CSREES may determine whether

any further action is needed. In some

cases, however, the preparation of

environmental data may not be

required. Certain categories of actions

are excluded from the requirements of

NEPA.

In order for CSREES to determine

whether any further action is needed

with respect to NEPA, pertinent

information regarding the possible

environmental impacts of a particular

project is necessary; therefore, Form

CSREES–1234, ‘‘NEPA Exclusions

Form,’’ must be included in the

proposal indicating whether the

applicant is of the opinion that the

project falls within a categorical

exclusion and the reasons therefor. If it

is the applicant’s opinion that the

proposed project falls within the

categorical exclusions, the specific

exclusion must be identified. Form

CSREES–1234 and supporting

documentation should be included as

the last page of the proposal.

Even though a project may fall within

the categorical exclusions, CSREES may

determine that an Environmental

Assessment or an Environmental Impact

Statement is necessary for an activity, if

substantial controversy on

environmental grounds exists or if other

extraordinary conditions or

circumstances are present which may

cause such activity to have a significant

environmental effect.

Part IV. Submission of a Proposal

A. What to Submit

An original and 15 copies must be

submitted. Each copy of each proposal

must be stapled in the upper left-hand

corner. (DO NOT BIND.) All copies of

the proposal must be submitted in one

package.

B. Where and When to Submit

Applications for Planning Grants for

FRA Centers must be received by close

of business on March 24, 1997. Standard

Project proposals must be received by

close of business on April 28, 1997.

Proposals sent by First Class mail must

be sent to the following address:

Proposal Services Unit, Grants

Management Branch, Office of

Extramural Programs, USDA/CSREES,

STOP 2245, Washington, DC 20250–

2245; Telephone: (202) 401–5048

Note: Hand-delivered proposals or those

delivered by overnight express service

should be brought to the following address:

Proposal Services Unit, Grants Management

Branch; Office of Extramural Programs;

USDA/CSREES; Room 303, Aerospace

Center; 901 D Street, S.W.; Washington, DC

20024. The telephone number is (202) 401–

5048.

C. Acknowledgment of Proposals

The receipt of all proposals will be

acknowledged in writing and this

acknowledgment will contain an
4392 Federal Register / Vol. 62, No. 19 / Wednesday, January 29, 1997 / Notices

identifying proposal number. Once your

proposal has been assigned an

identification number, please cite that

number is future correspondence.

Part V. Selection Process and

Evaluation Criteria

A. Selection Process

Each proposal will be evaluated in a

two-part process. First, each proposal

will be screened to ensure it meets the

requirements as set forth in this RFP.

Proposals that meet these requirements

will be technically evaluated. Each

proposal will be judged on its own

merits.

B. Technical Evaluation

The review of applications submitted

for funding consideration, will consist

of a technical evaluation conducted by

CSREES using the competitive peer

review process. Standard Project Grant

applications will receive a technical

evaluation using the following criteria:

1. Merit: Scientific, technical, or

educational merit: Well defined

problem; clearly defined objectives;

appropriateness of approach, (including

selection of proper approach to address

systems, multifaceted, or

multidisciplinary problems);

demonstrated integration of components

(such as research, education and

extension components); degree of

feasibility; soundness and effectiveness

of management plan.

2. Quality: Creativity and

innovativeness in addressing problem

and issues; selection of most

appropriate and qualified individuals to

address problem; competence and

experience of personnel; effective

utilization of knowledge base in

addressing problem; potential to

contribute solutions to stated problem;

identified potential for technology

transfer and information dissemination.

3. Relevance: Proposal advances

purposes for Federally supported

research, education, and extension of

the 1977 National Agricultural

Research, Extension, and Teaching

Policy Act of 1977, as amended (7

U.S.C. 3107); potential to contribute

solutions to priority problems in

agriculture; identification and

involvement of stakeholders;

involvement of communities of interest

and stakeholders in the identification of

problems set forth in proposal;

partnership with those affected by the

outcome.

Planning grants for FRA Centers will

be judged using the following criteria;

• Merits of the FRA Center concept

• Relevance of the future FRA Center

to the purposes of The Fund

• Appropriateness of planning

activities in assembling a future FRA

Center application

• Competence of identified

participants

Because planning grant applications

will constitute a preliminary plan for

development of a FRA Center, peer

review panels will concentrate their

evaluation on the merit and relevance of

the conceptual framework to achieving

the goals of The Fund.

C. Programmatic Relevance Review

The National Agricultural Research,

Education and Economics Advisory

Board will review collective groups of

recommended proposals (based on

technical evaluation) to ensure the

relevance of the work proposed for

funding toward achieving the

programmatic goals of the Fund.

Part VI. Supplementary Information

A. Access to Peer Review Information

After final decisions have been

announced, CSREES will, upon request,

inform the project director of the

reasons for its decision on a proposal.

Copies of summary reviews, not

including the identity of the reviewers,

will be made available to respective

project directors upon specific request.

B. Grant Awards

1. General: Within the limit of funds

available for such purpose, the awarding

official of CSREES shall make grants to

those responsible, eligible applicants

whose proposals are judged most

meritorious in the announced program

areas under the evaluation criteria and

procedures set forth in this request for

proposals. The date specified by the

Administrator as the effective date of

the grant shall be no later than

September 30 of the Federal fiscal year

in which the project is approved for

support and funds are appropriated for

such purpose, unless otherwise

permitted by law. It should be noted

that the project need not be initiated on

the grant effective date, but as soon

thereafter as practicable so that project

goals may be attained within the funded

project period. All funds granted by

CSREES under this request for proposals

shall be expended solely for the purpose

for which the funds are granted in

accordance with the approved

application and budget, these

application guidelines, the terms and

conditions of the award, the applicable

Federal cost principles, and the

Department’s assistance regulations

(Parts 3015, 3016, and 3019 of 7 CFR).

2. Organizational Management

Information: Specific management

information relating to an applicant

shall be submitted on a one-time basis

prior to the award of a grant identified

under these application guidelines if

such information has not been provided

previously under this or another

program for which the sponsoring

agency is responsible. Copies of forms

recommended for use in fulfilling the

requirements contained in this section

will be provided by the sponsoring

agency as part of the preaward process.

3. Grant Award Document and Notice

of Grant Award: The grant award

document shall include at a minimum

the following:

a. Legal name and address of

performing organization or institution to

whom the Administrator has awarded a

grant under the terms of this request for

proposals;

b. Title of Project;

c. Name(s) and address(es) of project

director(s) chosen to direct and control

approved activities;

d. Identifying grant number assigned

by the Department

e. Project period, specifying the

amount of time the Department intends

to support the project without requiring

recompetition for funds;

f. Total amount of Departmental

financial assistance approved by the

Administrator during the project period;

g. Legal authority(ies) under which

the grant is awarded;

h. Approved budget plan for

categorizing allocable project funds to

accomplish the stated purpose of the

grant award; and

i. Other information or provisions

deemed necessary by CSREES to carry

out its respective granting activities or

to accomplish the purpose of a

particular grant.

4. Notice of Grant Award: The notice

of grant award, in the form of a letter,

will be prepared and will provide

pertinent instructions or information to

the grantee that is not included in the

grant award document.

C. Use of Funds; Changes

1. Delegation of Fiscal Responsibility:

The grantee may not in whole or in part

delegate or transfer to another person,

institution, or organization the

responsibility for use or expenditure of

grant funds.

2. Changes in Project Plans:

a. The permissible changes by the

grantee, project director(s), or other key

project personnel in the approved

project grant shall be limited to changes

in methodology, techniques, or other

aspects of the project to expedite

achievement of the project’s approved

goals. If the grantee and/or the project

director(s) are uncertain as to whether a
Federal Register / Vol. 62, No. 19 / Wednesday, January 29, 1997 / Notices 4393

change complies with this provision,

the question must be referred to the

CSREES authorized departmental officer

(ADO) for a final determination.

b. Changes in approved goals, or

objectives, shall be requested by the

grantee and approved in writing by the

ADO prior to effecting such changes. In

no event shall requests for such changes

be approved which are outside the

scope of the original approved project.

c. Changes in approved project

leadership or the replacement or

reassignment of other key project

personnel shall be requested by the

grantee and approved in writing by the

ADO of CSREES prior to effecting such

changes.

d. Transfers of actual performance of

the substantive programmatic work in

whole or in part and provisions for

payment of funds, whether or not

Federal funds are involved, shall be

requested by the grantee and approved

in writing by the Department prior to

effecting such transfers.

e. Changes in Project Period: The

project period may be extended by

CSREES without additional financial

support, for such additional period(s) as

the ADO determines may be necessary

to complete or fulfill the purposes of an

approved project. Any extension of time

shall be conditioned upon prior request

by the grantee and approved in writing

by the ADO, unless prescribed

otherwise in the terms and conditions of

a grant.

f. Changes in Approved Budget:

Changes in an approved budget must be

requested by the grantee and approved

in writing by the ADO prior to

instituting such changes if the revision

will:

(1) Involve transfers of amounts

budgeted for indirect costs to absorb an

increase in direct costs;

(2) Involve transfers of amounts

budgeted for direct costs to

accommodate changes in indirect cost

rates negotiated during a budget period

and not approved when a grant was

awarded; or

(3) Involve transfers or expenditures

of amounts requiring prior approval as

set forth in the applicable Federal cost

principles, Departmental regulations, or

in the grant award.

D. Other Federal Statutes and

Regulations that Apply

Several other Federal statutes and

regulations apply to grant proposals

considered for review and to project

grants awarded under this program.

These include but are not limited to:

7 CFR Part 1.1—USDA

implementation of the Freedom of

Information Act.

7 CFR Part 1c—USDA

implementation of the Federal Policy for

the Protection of Human Subjects.

7 CFR Part 3—USDA implementation

of OMB Circular No. A–129 regarding

debt collection.

7 CFR Part 15, subpart A—USDA

implementation of Title VI of the Civil

Rights Act of 1964, as amended.

7 CFR Part 3015—USDA Uniform

Federal Assistance Regulations,

implementing OMB directives (i.e.,

Circular Nos. A–21, and A–122) and

incorporating provisions of 31 U.S.C.

6301–6308 (formerly the Federal Grant

and Cooperative Agreement Act of 1977,

Pub. L. No. 95–224), as well as general

policy requirements applicable to

recipients of Departmental financial

assistance.

7 CFR Part 3017, as amended by 61

Federal Register 250, January 4, 1996—

USDA implementation of

Governmentwide Debarment and

Suspension (Nonprocurement) and

Governmentwide Requirements for

Drug-Free Workplace (Grants).

7 CFR Part 3018—USDA

implementation of New Restrictions on

Lobbying. Imposes prohibitions and

requirements for disclosure and

certification related to lobbying on

recipients of Federal contracts, grants,

cooperative agreements, and loans.

7 CFR Part 3019—USDA

implementation of OMB Circular A–

110, Uniform Administrative

Requirements for Grants and

Agreements With Institutions of Higher

Education, Hospitals, and Other

Nonprofit Organizations.

7 CFR Part 3051—USDA

implementation of OMB Circular No. A–

133 regarding audits of institutions of

higher education and other nonprofit

institutions.

7 CFR Part 3407—CSREES procedures

to implement the National

Environmental Policy Act of 1969, as

amended.

48 CFR Part 31—Contract Cost

Principles and Procedures of the Federal

Acquisition Regulation.

29 U.S.C. 794 (section 504,

Rehabilitation Act of 1973) and 7 CFR

Part 15b (USDA implementation of

statute)—prohibiting discrimination

based upon physical or mental handicap

in Federally assisted programs.

35 U.S.C. 200 et seq.—Bayh-Dole Act,

controlling allocation of rights to

inventions made by employees of small

business firms and domestic nonprofit

organizations, including universities, in

Federally assisted programs

(implementing regulations are contained

in 37 CFR part 401).

E. Confidential Aspects of Proposals

and Awards

When a proposal results in a grant, it

becomes a part of the record of the

Agency’s transactions, available to the

public upon specific request.

Information that the Secretary

determines to be of a privileged nature

will be held in confidence to the extent

permitted by law. Therefore, any

information that the applicant wishes to

have considered as privileged should be

clearly marked as such and sent in a

separate statement, two copies of which

should accompany the proposal. The

original copy of a proposal that does not

result in a grant will be retained by the

Agency for a period of one year. Other

copies will be destroyed. Such a

proposal will be released only with the

consent of the applicant or to the extent

required by law. A proposal may be

withdrawn at any time prior to the final

action thereon.

Done at Washington, D.C., this 24th day of

January, 1997.

B.H. Robinson,

Administrator, Cooperative State Research,

Education, and Extension Service.

[FR Doc. 97–2273 Filed 1–28–97; 8:45 am]

BILLING CODE 3410–22–M