Source: https://www.federalregister.gov/documents/2004/01/22/04-1274/technical-assistance-grants
Timestamp: 2017-10-21 03:51:18
Document Index: 494382066

Matched Legal Cases: ['art 1942', 'art 1942', 'art 1775', 'art 1775', 'art 1900', 'art 1794', '§\u20091775', 'art 3016', 'art 3017', 'art 3051', 'art 15', '§\u20091775', '§\u20091775', '§\u20091775', '§\u20091775', 'art 1780', '§\u20091775', '§\u20091775', '§\u20091775', '§\u20091775']

A Proposed Rule by the Rural Utilities Service on 01/22/2004
Written comments must be received by RUS or bear a postmark or equivalent, no later than March 22, 2004. Comments regarding the information and record keeping requirements must be received by March 22, 2004.
69 FR 3030
3030-3036 (7 pages)
https://www.federalregister.gov/d/04-1274 https://www.federalregister.gov/d/04-1274
Start Preamble Start Printed Page 3030
The Rural Utilities Service (RUS) proposes to amend the regulation utilized to administer the technical assistance grant programs. This action is necessary to separate the technical assistance and training grant and solid waste management grant programs for clarification purposes and to bring the regulation in line with revisions to OMB circulars. Additionally, it eliminates the requirement that applicants submit a pre-application when applying for grant funds. This action also transfers grant processing and servicing from the National Office to Rural Development State Offices. The intended effect is to separate the technical assistance and solid waste management programs and to reduce regulatory burdens on applicants.
Written comments should be sent to Richard Annan, Acting Director, Program Development and Regulatory Analysis, Rural Utilities Service, U.S. Department of Agriculture, 1400 Independence Ave., SW., Room 5168-S, STOP 1522, Washington, DC 20250-1522. RUS requires a signed original and three copies of all comments (7 CFR 1700.4). Comments will be available for public inspection during regular business hours (7 CFR 1.27(b)).
This proposed rule has been reviewed under Executive Order 12988, Civil Justice Reform. RUS has determined that this proposed rule meets the applicable standards provided in section 3 of the Executive Order. In addition all State and local laws and regulations that are in conflict with this rule will be preempted; no retroactive effect will be given to the rule; and, in accordance with section 212(e) of the Department of Agriculture Reorganization Act of 1994 (7 U.S.C. 6912(e)) administrative appeal procedures, if any are required, must be exhausted prior to initiating any action against the Department or its agencies.
Under section 605(b) of the Regulatory Flexibility Act, 5 U.S.C. 605(b), RUS certifies that this rule will not have a significant economic impact on a substantial number of small entities. The amendments reflect only statutory changes that Congress has mandated and over which the Agency has no discretion.
In accordance with the Paperwork Reduction Act of 1995 (44 U.S.C. chapter 35) RUS is requesting comments on the information collection incorporated in this proposed rule.
Comments on this information collection must be received by March 22, 2004.
Comments are invited on: (a) Whether the collection of information is necessary for the proper performance of the functions of the agency, including whether the information will have practical utility; (b) the accuracy of the agency's estimate of the burden including the validity of the methodology and assumption used; (c) ways to enhance the quality, utility and clarity of the information to be collected; and (d) ways to minimize the burden of the collection of information on those who are to respond, including through the use of automated electronic, mechanical, or other technological collection techniques or other forms of information technology.
Abstract: The information collections contained in this rule are requirements prescribed by the Consolidated Farm and Rural Development Act (CONACT) (7 U.S.C. 1926(a)), as amended.
The primary reasons for the promulgation of the proposed revisions to this rule were changes in the OMB circulars affecting these programs and changes in the way the programs have developed since inception.
The proposed rule will provide a general section for the requirements that are the same for both grant programs and separate sections for the requirements unique to each grant program. This will clarify both the similarities and the differences in the programs and provide a clearer understanding of the requirements of each.
RUS applicants would submit an application for consideration of grant funding, and if selected for funding, submit quarterly reports, as prescribed by the rule. The burden will vary depending on the type of project proposed for funding under the programs, which would then prescribe Start Printed Page 3031the type of information collection involved. The collection of information is only that information which is essential for RUS to award and service grants in the best interest of the government.
Estimated Number of Responses per Respondents: 16.
Estimated Total Annual Burden on Respondents: 5,555 hours.
Copies of this information collection can be obtained from Michele Brooks, Program Development and Regulatory Analysis, Rural Utilities Service. Telephone: (202) 690-1078.
Send comments regarding this information collection requirement to Richard Annan, Acting Director, Program Development and Regulatory Analysis, USDA, Rural Utilities Service, 1400 Independence Ave., SW., Room 4034, Stop 1522, Washington, DC 20250-1522.
Comments are best assured of having full effect if received within 30 days of publication in the Federal Register. All comments will become a matter of public record.
The programs described by this proposed rule are listed in the Catalog of Federal Domestic Assistance Programs under numbers 10.761, Technical Assistance and Training Grants and 10.762, Solid Waste Management Grants. This catalog is available on a subscription basis from the Superintendent of Documents, the United States Government Printing Office, Washington, DC 20402-9325, telephone number (202) 512-1800.
This rule contains no Federal mandates (under the regulatory provision of Title II of the Unfunded Mandates Reform Act of 1995) for State, local, and tribal governments or the private sector. Thus this rule is not subject to the requirements of sections 202 and 205 of the Unfunded Mandates Reform Act of 1995.
On November 2, 1987, the Farmers Home Administration (FmHA) (predecessor of RUS) published 7 CFR part 1942, subpart J, Technical Assistance and Training Grants, as a final rule in the Federal Register (52 FR 41950) implementing a new grant program. On February 5, 1992, FmHA published 7 CFR part 1942, subpart J, Technical Assistance and Training Grants, as a final rule in the Federal Register (57 FR 4357) revising the regulation to implement another new grant program. In 1994 when RUS assumed the functions of the Water and Waste Disposal programs from the former FmHA and the Rural Development Administration (RDA), RUS changed the Technical Assistance and Training (TAT) and Solid Waste Management (SWM) grants regulations from 7 CFR 1942, subpart J, to 7 CFR 1775. Based on changes in the OMB circulars affecting these programs and the agency's experience and review of its existing procedures, RUS has determined that several changes are necessary in order to operate the grant programs in a smooth, efficient, and effective manner.
The existing 7 CFR part 1775 was designed to provide policy and procedures for RUS's technical assistance and training grants and solid waste management grants in addition to the agency's internal administrative actions. There has been some confusion as to the basic differences in the programs, especially pertaining to eligibility. To avoid confusion and clarify eligibility requirements, objectives, and purposes, separate sections have been developed for each grant program.
Unsuccessful applicants have often requested the basis upon which funding decisions were made. The existing regulation contains general statements describing the priority criteria used in making those decisions. The proposed rule would provide a more detailed description of the project priority criteria used in determining if an applicant is selected or not selected for funding.
Over the years, the number of proposals for projects to be operated within a single State, especially in the Solid Waste Management Grants program, have drastically increased. Due to the requirements of the existing regulations, these projects are processed and serviced from the National Office. Experience has shown that these projects should be processed and serviced from the Rural Development State Offices because of the proximity of the project and the familiarity of field personnel with grantee organizations. RUS is proposing to delegate approval authority to the State Directors for projects to be operated only within their States. Funding for these projects would be determined by the National Office on a competitive basis.
The proposed rule contains a variety of procedural changes from the provisions of the current rule. Some of these revisions are minor or are merely intended to clarify existing RUS policy and procedure. Other revisions reflect fundamental changes to RUS' operation of the grant programs and are outlined below.
For clarification purposes, RUS proposes to define the term “technical assistance” as it relates to eligibility of projects under both grant programs.
The current rule prohibits the use of grant funds for expenses incurred prior to grant approval. The proposed rule would allow applicants to incur grant-related expenses, however, RUS would not be obligated to reimburse these expenses if the grant is not approved or is insufficient to do so.
To foster clarity, this proposed rule includes an expanded explanation of the items needed to complete an application package and a more detailed description of the information required for priority consideration. The proposed rule would also expand the priority criteria to include the population of associations to be served, needs assessment, description of how the project will be implemented, hands-on assistance, evaluation methodology, and strategy for sustaining the project.
The existing regulation requires fidelity bond coverage. The proposed rule would remove the requirement because coverage is not needed when grant funds are reimbursed for actual expenses.
This proposed rule would require grantees to obtain written permission from the approval official for changes in the project or changes of more than 10 percent of the total budget. Permission would be obtained before changes are put into effect or funds spent.
The proposed rule would allow grantees to submit financial statements in certain instances. The existing regulation does not offer any option other than submission of an audit.
Grant programs-housing and community
For reasons set forth in the preamble, RUS proposes to amend 7 CFR chapter XVII of title 7 of the Code of Federal Regulations by revising part 1775 to read as follows:
This subpart sets forth the general policies and procedures for the Technical Assistance and Training and the Solid Waste Management Grant Programs. Any processing or servicing activity conducted pursuant to this part involving authorized assistance to Rural Development employees with Water and Environmental Program responsibility, members of their families, known close relatives, or business or close personal associates, is subject to the provisions of subpart D of part 1900 of this title. Applicants for this assistance are required to identify any known relationship or association with an Agency employee.
Association. An entity, including a small city or town, that is eligible for Rural Utilities Service (RUS) Water and Waste Disposal (WWD) financial assistance in accordance with 7 CFR 1780.7 (a).
Grantee. The entity or organization receiving financial assistance directly from the Agency to carry out the project or program under these programs.
State. Any of the 50 States, the District of Columbia, the Commonwealth of Puerto Rico, the Western Pacific Territories, Marshall Islands, Federated States of Micronesia, Republic of Palau, and the U.S. Virgin Islands.
(a) Duplicate current services, replace or substitute support normally provided by other means, such as those performed by an association's consultant in developing a project, including feasibility, design, and cost estimates.
(h) Pay for any other costs that are not allowable under OMB Circular A-87, OMB Circular 110, OMB Circular 102 or OMB Circular A-122.
(1) The Forest Service helps rural communities that are dependent upon national forest resources diversify existing industries and economies. It establishes rural forestry and economic diversification action teams that prepare Start Printed Page 3033technical assistance plans for these rural communities to expand their local economies and reduce their dependence on national forest resources. The Forest Service provides assistance to implement the action plans through grants, loans, cooperative agreements, or contracts.
(k) To pay, an outstanding judgment obtained by the United States in a Federal Court (other than in the United States Tax Court), which has been recorded. An applicant will be ineligible to receive a loan or grant until the judgment is paid in full or otherwise satisfied.
(l) Recruit applications for the Agency's water and waste loan and/or any loan and/or grant program. Grant funds cannot be used to create new business; however, they can be used to assist with application preparation.
The policies and regulations contained in part 1794 of this title apply to grants made for the purposes in §§ 1775.36 and 1775.66 of this part.
Other Federal Statues.
Other Federal statues and regulations are applicable to grants awarded under this part. These include but are not limited to:
(f) 7 CFR Part 3016—USDA Implementation of OMB Circular Nos. A-102 and A-97, Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments.
(g) 7 CFR Part 3017, as amended—Government-wide Debarment and Suspension (Non-procurement); Government-wide Requirements for Drug-Fee Workplace (Grants), implementing Executive Order 12549 on debarment and suspension and the Drug-Free Workplace Act of 1988 (41 U.S.C. 701).
(j) 7 CFR Part 3051—USDA implementation of OMB Circular No. A-133 regarding audits of institutions of higher education and other nonprofit institutions.
(k) 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.
(1) An applicant will apply to the appropriate State Office of Rural Development if the project will serve a single State.
(2) Standard Form 424A & B, “Budget Information-Non-Construction Programs.”
(3) Narrative of applicant's experience in providing services similar to those Start Printed Page 3034proposed. Provide brief description of successfully completed projects including the need that was identified and objectives accomplished.
(8) Documentation on each of the priority ranking criteria listed in § 1775.11 of this part as follows:
The application and supporting information will be used to determine the applicant's priority for available funds. All applications will be reviewed and scored for funding priority in accordance with RUS Guide 1775-2. Points will be given only for factors that are well documented in the application package and, in the opinion of the Agency, meet the objective outlined under each factor. The following is a listing of the criteria that will be used to select the applications that meet the objectives of the technical assistance program.
(b) Projects proposing to give priority for available services to communities that are 80 percent of or below the SNMHI.
(f ) Projects containing evaluation methods that are specific to the activity, clearly defined, measurable, and with projected outcomes.
(a) Single State applications.
(1) Grant applications submitted at the State level will receive a letter acknowledging receipt and confirmation that all information required for a full application was included in the packet. The State will notify the applicant of missing information. The applicant will have 14 business days to respond.
(3) The National Office will review all applications received from State Offices. Applications will compete on a priority basis and will be scored and ranked. The applications receiving the highest scores and subject to the availability of funds will be notified by the National Office that they have been selected for funding. The National Office will send applications to the State Office for final processing.
(b) National and multi-State applications.
(1) National and multi-State applications submitted to the National Office will receive a letter acknowledging receipt and confirmation that all information required for a full application was included in the packet. The National Office shall notify the applicant of missing information. The applicant will have 14 business days to respond.
Applicants selected for funding will complete a grant agreement, RUS Guide Start Printed Page 30351775-1, which outlines the terms and conditions of the grant award.
§§ 1775.14—1775.17
(b) SF-269, “Financial Status Report (short form),” and a project performance activity report will be required of all grantees on a quarterly basis, due 30 days after the end of each quarter.
The authority under this part is re-delegated to the Assistant Administrator, Water and Environmental Programs, except for the discretionary authority contained in § 1775.34 of this part. The Assistant Administrator, Water and Environmental Programs may re-delegate the authority in this part.
§§ 1775.25-1775.30
This subpart sets forth additional policies and procedures for making Technical Assistance and Training (TAT) grants authorized under Section 306(a)(14)(A) of the Consolidated Farm and Rural Development Act (CONACT) (7 U.S.C. 1926(a)), as amended.
Grants will be made from not less than 1 percent or, at the discretion of the Agency Administrator, not more than 3 percent of any appropriations for grants under Section 306(a)(2) of the CONACT (7 U.S.C. 1926(a)). Funds not obligated by September 1 of each fiscal year will be used for water and waste disposal grants made in accordance with part 1780 of this chapter.
(e) Applicants must also have the proven ability, background, experience, (as evidenced by the organization's satisfactory completion of project(s) similar to those proposed;) legal authority, and actual capacity to provide technical assistance and/or training on a regional basis to associations as provided in § 1775.33 of this subpart. To meet the requirement of actual capacity, an applicant must either:
(1) Have the necessary resources to provide technical assistance and/or Start Printed Page 3036training to associations in rural areas through its staff, or
Grants may be made to organizations as defined in § 1775.35 of this subpart to enable them to assist associations to:
This subpart sets forth the policies and procedures for making Solid Waste Management (SWM) grants authorized under Section 310B of the Consolidated Farm and Rural Development Act (CONACT) (7 U.S.C. 1926(a)), as amended.
(e) Applicants must also have the proven ability; background; experience, as evidenced by the organization's satisfactory completion of project(s) similar to those proposed; legal authority; and actual capacity to provide technical assistance and/or training on a regional basis to associations as provided in § 1775.63 of this subpart. To meet the requirement of actual capacity, an applicant must either:
Grants may be made to organizations as defined in § 1775.65 to enable them to assist associations to:
The Administrator may, in individual cases, make an exception to any requirement or provision of this part which is not inconsistent with the authorizing statue or other applicable law and is determined to be in the Government's interest.
[FR Doc. 04-1274 Filed 1-21-04; 8:45 am]