Food and Agricultural Sciences National Needs Graduate Fellowship Grants Program; Administrative Provisions; Proposed Rulemaking DEPARTMENT OF AGRICULTURE

SUMMARY: The Cooperative State Research Service (CSRS) proposes to

amend its regulations relating to the administration of the Food and

Agricultural Sciences National Needs Graduate Fellowship Grants Program

conducted under the authority of section 1417(b)(6) of the National

Agricultural Research, Extension, and Teaching Policy Act of 1977, as

amended, 7 U.S.C. 3152(b)(6). This action is being taken to clarify

certain aspects of the program, provide additional guidance to

applicants so that the material submitted facilitates the evaluation of

proposals, and add newly applicable Federal statutes and regulations.

CSRS is publishing these regulations in their entirety to enhance their

use by the public and to ensure expeditious submission and processing

of grant proposals.

DATES: Comments are invited from interested individuals and

organizations. To be considered in the formulation of a final rule, all

relevant material must be received on or before October 24, 1994.

ADDRESSES: Comments should be sent to Dr. Jeffrey L. Gilmore, Grant

Programs Manager, Office of Higher Education Programs, Cooperative

State Research Service, U.S. Department of Agriculture, Ag Box 2251,

Washington, D.C. 20250-2251. Comments may also be sent via electronic

mail to [email protected].

FOR FURTHER INFORMATION CONTACT:

Dr. Jeffrey L. Gilmore at (202) 401-1790 or via electronic mail at

[email protected].

SUPPLEMENTARY INFORMATION:

Paperwork Reduction

Under the provisions of the Paperwork Reduction Act of 1980 (44

U.S.C. Chapter 35), the collection of information requirements

contained in this proposed rule have been reviewed and approved by the

Office of Management and Budget (OMB) and given the OMB Document Nos.

0524-0022 and 0524-0024.

Classification

This proposed rule has been reviewed under Executive Order No.

12866 and it has been determined that it is not a ``significant

regulatory action'' rule because it will not have an annual effect on

the economy of $100 million or more or adversely and materially affect

a sector of the economy, productivity, competition, jobs, the

environment, public health or safety, or State, local, or tribal

governments or communities. This rule will not create any serious

inconsistencies or otherwise interfere with actions taken or planned by

another agency. It will not materially alter the budgetary impact of

entitlements, grants, user fees, or loan programs and does not raise

novel legal or policy issues arising out of legal mandates, the

President's priorities, or principles set forth in Executive Order No.

12866. In addition, it will not have a significant impact on a

substantial number of small entities as defined in the Regulatory

Flexibility Act, Public Law No. 96-534 (5 U.S.C. 601 et seq.).

The following information is given in compliance with Executive

Order No. 12778. All State and local laws and regulations that are in

conflict with this rule are preempted. No retroactive effect is to be

given to this rule. This rule does not require administrative

proceedings before parties may file suit in court.

Regulatory Analysis

Not required for this proposed rulemaking.

Environmental Impact Statement

This proposed regulation does not significantly affect the

environment. Therefore, an environmental impact statement is not

required under the National Environmental Policy Act of 1969, as

amended, 42 U.S.C. 4321 et seq.

Catalog of Federal Domestic Assistance

This program is listed in the Catalog of Federal Domestic

Assistance under No. 10.210, Food and Agricultural Sciences National

Needs Graduate Fellowship Grants. For the reasons set forth in the

Final Rule-related Notice to 7 CFR Part 3015, subpart V, 48 FR 29115,

June 24, 1983, at which time the authority to administer this program

resided in the Agricultural Research Service, this program is excluded

from the scope of Executive Order No. 12372 which requires

intergovernmental consultation with State and local officials.

Background and Purpose

Under the authority of section 1417(b)(6) of the National

Agricultural Research, Extension, and Teaching Policy Act of 1977, as

amended, 7 U.S.C. 3152(b)(6), the Secretary of Agriculture is

authorized to conduct a competitive graduate fellowship grants program.

The administrative regulations governing the Food and Agricultural

Sciences National Needs Graduate Fellowship Grants Program published in

the Federal Register on February 13, 1987, (52 FR 4712-4716) and on

January 22, 1990, (55 FR 2214-2215) are proposed to be amended as

follows:

Section 3402.1

This section is proposed to be revised to ensure consistency with

the eligibility criteria set out by section 1608 of the Food,

Agriculture, Conservation, and Trade Act of 1990 (FACT Act).

Section 3402.2

This section is proposed to be revised to clarify the definition of

a citizen or national of the United States and to ensure consistency

between the definitions furnished in this section and those provided in

section 1404 of the National Agricultural Research, Extension, and

Teaching Policy Act of 1977, as amended.

Section 3402.3

This section is proposed to be revised to ensure consistency with

the eligibility criteria set out by section 1608 of the FACT Act.

Section 3402.4

This section is proposed to be revised to allow the Office of

Higher Education Programs (HEP) to determine each year whether a new

competition is warranted in order to facilitate administration of this

program.

Section 3402.5

Language is proposed to be added to establish special international

study or thesis/dissertation research travel allowances for a limited

number of USDA Graduate Fellows, to allow HEP to determine the maximum

amounts available for each graduate level thereunder, and to set out

the requirements for proposals submitted thereunder in order to take

full advantage of educational opportunities throughout the world. In

order to facilitate administration of this program, this section is

proposed to be revised further to allow HEP to determine each year

whether a new competition is warranted, the graduate degree level(s) to

be supported each year, Master's and/or doctoral, the proportion of

appropriations to be devoted to cost-of-education institutional

allowances, fellowship stipends, and special international study or

thesis/dissertation research travel allowances, and the degree levels

for which funding may be requested in a single proposal and announce

this information in the program announcement in the Federal Register.

Section 3402.6

This section is proposed to be revised to modify fellowship

appointments given the addition of the special international study or

thesis/dissertation research travel allowances. This section is

proposed to be revised further to require recipient institutions to

identify Fellows within 15 months of the effective date of the grant

and to allow fellowship appointments to be made only to full-time

students enrolled in a graduate degree program in the national need

area and at the degree level supported by the grant. Further, a new

paragraph is proposed to be added to clarify that only Fellows enrolled

in Master's programs of study may be supported under a Master's

fellowship grant and that only Fellows enrolled in doctoral programs of

study may be supported under a doctoral fellowship grant.

Section 3402.7

This section is proposed to be revised to modify fellowship

activities given the addition of the special international study of

thesis/dissertation research travel allowances. Further, additional

language is proposed to be added to this section to ensure that a

Fellow under this program is enrolled as a full-time graduate student

for the duration of the fellowship in the national need area and at the

degree level supported by the grant and to allow formal registration to

be waived by the institution only if the Fellow is making satisfactory

progress toward degree completion and is engaged full-time in

fellowship activities. These changes are proposed to facilitate

administration of the program and to clarify past confusion.

Section 3402.8

This section is proposed to be revised to modify program financial

provisions given the addition of the special international study or

thesis/dissertation research travel allowances.

Section 3402.9

This section is proposed to be revised to change references from

``program brochure and application kit'' to ``application package'' and

to rename the section accordingly.

Section 3402.11

Language is proposed to be added to this section to encourage

applicants to emphasize the uniqueness of the proposed graduate program

of study.

Section 3402.12

In order to facilitate the evaluation of proposals, this section is

proposed to be revised to set out a new section 2 and renumber the

sections following and to emphasize the need for recruiting and

retaining members of underrepresented groups.

Section 3402.13

Additional language is proposed to be added to this section in

order to clarify pagination of proposals to facilitate the evaluation

of proposals.

Section 3402.14

Additional language is proposed to be added to this section in

order to clarify pagination of proposals to facilitate the evaluation

of proposals.

Section 3402.15

Additional language is proposed to be added to this section to

clarify pagination of proposals and to guide applicants in the content

and format of the information they submit in the Appendix to facilitate

the evaluation of proposals.

Section 3402.16 (previously 3402.17)

It is proposed that this section, which addresses intent to submit

a proposal, precede the section that addresses where to submit a

proposal in order to be chronologically correct. It is further proposed

that the intent to submit a proposal document be referred to as a form

rather than a card. Additional language is proposed in this section to

allow HEP to determine each year whether an Intent to Submit a Proposal

form is required to ease paperwork burdens, and to announce this

information in the program announcement in the Federal Register.

Section 3402.17 (previously 3402.16)

It is proposed that this section, which addresses where to submit a

proposal, follow the section that addresses intent to submit a proposal

form in order to be chronologically correct. It is further proposed

that the heading for this section read ``Where to submit a proposal''

rather than ``Where to submit proposals'' so that the two headings in

this subpart have parallel structure.

Section 3402.19

This section is proposed to be revised in order to clarify the

criteria used to evaluate the proposals and to allow the agency the

discretion to change the weight for each criterion and announce such a

change in the program announcement in the Federal Register. These

proposed changes will enhance program administration.

Section 3402.21

Language is proposed to be added to this section to set out the

different types of grant instruments in order to facilitate award

processing.

Section 3402.22

This section is proposed to be revised to include additional

Federal regulations and statutes that are applicable to this grant

program.

Section 3402.25

This section is proposed to be revised to clarify the conditions

upon which the project directors must submit the Graduate Fellow Exit

Reports and to allow HEP to request preliminary exist reports (in

situations where the Fellows have not completed the degree requirements

when the five-year grant expires), additional follow-up reports to

track the career patterns of Fellows, and a Final Report in order to

gauge better the success of the program. This section is further

proposed to be revised to reflect the initiation of the special

international study or thesis/dissertation research allowance

activities under this program.

Several other changes of a minor nonsubstantive nature also are

proposed in order to clarify further these regulations to facilitate

the administration of this program.

List of Subjects in 7 CFR Part 3402

Grant programs--agriculture, Agriculture Higher Education Programs,

Food and Agricultural Sciences National Needs Graduate Fellowship

Grants Program.

For the reasons set forth in the preamble, Title 7, Chapter XXXIV,

Part 3402 of the Code of Federal Regulations is proposed to be revised

to read as follows:

PART 3402--FOOD AND AGRICULTURAL SCIENCES NATIONAL NEEDS GRADUATE

FELLOWSHIP GRANTS PROGRAM

Subpart A--General Introduction

Sec.

3402.1 Applicability or regulations.

3402.2 Definitions.

3402.3 Institutional eligibility.

Subpart B--Program Description

3402.4 Food and agricultural sciences areas targeted for national

needs graduate fellowship grants support.

3402.5 Overview of National Needs Graduate Fellowship Grants

Program.

3402.6 Fellowship appointments.

3402.7 Fellowship activities.

3402.8 Financial provisions.

Subpart C--Preparation of a Proposal

3402.9 Application package.

3402.10 Proposal cover page.

3402.11 National need summary.

3402.12 National need narrative.

3402.13 Budget.

3402.14 Faculty vitae.

3402.15 Appendix.

Subpart D--Submission of a Proposal

3402.16 Intent to submit a proposal.

3402.17 Where to submit a proposal.

Subpart E--Proposal Review and Evaluation

3402.18 Proposal review.

3402.19 Evaluation criteria.

Subpart F--Supplementary Information

3402.20 Terms and conditions of grant awards.

3402.21 Grant awards.

3402.22 Other Federal statutes and regulations that apply.

3402.23 Confidential aspects of proposals and awards.

3402.24 Access to peer review information.

3402.25 Documentation of progress on funded projects.

3402.26 Evaluation of program.

Authority: Sec. 1470, National Agricultural Research, Extension

and Teaching Policy Act of 1977, as amended, 7 U.S.C. 3316.

Subpart A--General Introduction

Sec. 3402.1 Applicability of regulations.

(a) The regulations of this part apply to competitive grants

awarded under the provisions of section 1417(b)(6) of the National

Agricultural Research, Extension and Teaching Policy Act of 1977, as

amended, 7 U.S.C. 3152(b)(6). This statute designates the U.S.

Department of Agriculture (USDA) as the lead Federal agency for

agricultural research, extension, and teaching in the food and

agricultural sciences. It authorizes the Secretary of Agriculture, who

has delegated the authority to the Cooperative State Research Service

(CSRS), to make competitive grants to land-grant colleges and

universities, colleges and universities having significant minority

enrollments and a demonstrable capacity to carry out the teaching of

food and agricultural sciences, and to other colleges and universities

having a demonstrable capacity to carry out the teaching of food and

agricultural sciences to administer and conduct graduate fellowship

programs to help meet the Nation's needs for development of scientific

and professional expertise in the food and agricultural sciences. The

fellowships are intended to encourage outstanding students to pursue

and complete graduate degrees in the areas of food and agricultural

sciences designated by CSRS through the Office of Higher Education

Programs (HEP) as national needs.

(b) The regulations of this part do not apply to grants awarded by

the Department of Agriculture under any other authority.

Sec. 3402.2 Definitions.

As used in this part:

Citizen or national of the United States means (1) a citizen or

native resident of a State; or, (2) a person defined in the Immigration

and Nationality Act, 8 U.S.C. 1101(a)(22), who, though not a citizen of

the United States, owes permanent allegiance to the United States.

College and university means an educational institution in any

State which (1) admits as regular students only persons having a

certificate of graduation from a school providing secondary education,

or the recognized equivalent of such a certificate, (2) is legally

authorized within such State to provide a program of education beyond

secondary education, (3) provides an educational program for which a

bachelor's degree or any other higher degree is awarded, (4) is a

public or other nonprofit institution, and (5) is accredited by a

nationally recognized accrediting agency or association.

Food and agricultural sciences means basic, applied, and

developmental research, extension, and teaching activities in the food,

agricultural, renewable natural resources, forestry, and physical and

social sciences in the broadest sense of these terms including but not

limited to research, extension and teaching activities concerned with

the production, processing, marketing, distribution, conservation,

consumption, research, and development of food and agriculturally

related products and services, inclusive of programs in agriculture,

natural resources, aquaculture, forestry, veterinary medicine, home

economics, rural development, and closely allied fields.

Graduate degree means a Master's or doctoral degree.

State means any one of the fifty States, the Commonwealth of Puerto

Rico, Guam, American Samoa, the Commonwealth of the Northern Marinas,

the Trust Territory of the Pacific Islands, the Virgin Islands of the

United States, and the District of Columbia.

Teaching activities means formal classroom instruction, laboratory

instruction, and practicum experience specific to the food and

agricultural sciences and matters relating thereto conducted by college

and universities offering baccalaureate or higher degrees.

Sec. 3402.3 Institutional eligibility.

Proposals may be submitted by land-grant colleges and universities,

by colleges and universities having significant minority enrollments

and a demonstrable capacity to carry out the teaching of food and

agricultural sciences, and by other colleges and universities having a

demonstrable capacity to carry out the teaching of food and

agricultural sciences. All applicants should be institutions that

confer a graduate degree in at least one area of the food and

agricultural sciences targeted for national needs fellowships, that

have a significant ongoing commitment to the food and agricultural

sciences generally, and that have a significant ongoing commitment to

the specific subject area for which a grant application is made. It is

the objective to award grants to colleges and universities which have

notable teaching and research competencies in the food and agricultural

sciences. The grants are specifically intended to support fellowship

programs that encourage outstanding students to pursue and complete a

graduate degree at such institutions in an area of the food and

agricultural sciences for which there is a national need for the

development of scientific and professional expertise. Therefore,

institutions which currently have excellent programs of graduate study

and research in the food and agricultural sciences dealing with

targeted national needs are particularly encouraged to apply.

Subpart B--Program Description

Sec. 3402.4 Food and agricultural sciences areas targeted for national

needs graduate fellowship grants support.

Areas of the food and agricultural sciences appropriate for

fellowship grant applications are those in which developing shortages

of expertise have been determined and targeted by HEP for national

needs fellowship grant support. When funds are available and HEP

determines that a new competition is warranted, the specific areas and

funds per area will be identified in a Federal Register notice

announcing the program and soliciting program applications.

Sec. 3402.5 Overview of National Needs Graduate Fellowship Grants

Program.

(a) The program will provide funds for a limited number of grants

to support fixed graduate student stipends and fixed cost-of-education

institutional allowances. These grants will be awarded competitively to

eligible institutions. In order to encourage the development of special

activities that are expected to contribute to Fellows' advanced degree

objectives, the program will also provide competitive, special

international study or thesis/dissertation research travel allowances

for a limited number of USDA Graduate Fellows.

(b) Based on the amount of funds appropriated in any fiscal year,

HEP will determine:

(1) Whether new competitions for graduate fellowships and/or

special international study or thesis/dissertation research travel

allowances will be held during that fiscal year;

(2) The graduate degree level(s) to be supported--Master's and/or

doctoral;

(3) The proportion of appropriations to be targeted for the

fellowship stipends for each respective graduate degree level

supported;

(4) The proportion of appropriations to be targeted for the cost-

of-education institutional allowances for each respective graduate

degree level supported;

(5) The proportion of appropriations to be targeted for the special

international study or thesis/dissertation research travel allowances

for each respective graduate degree level supported;

(6) The allowable stipend amount for each respective graduate

degree level supported, the cost-of-education institutional allowance

for each respective graduate degree level supported, and the maximum

funds available for each special international study or thesis/

dissertation research travel allowance for each respective graduate

degree level supported; and

(7) The maximum total funds that may be awarded to an institution

under the program in a given fiscal year.

(c) HEP will also determine:

(1) The maximum number of national needs areas for which funding

may be requested in a single proposal;

(2) The degree levels for which funding may be requested in a

single proposal;

(3) The minimum and maximum number of fellowships for which an

institution may apply in a single proposal; and

(4) The limits on the total number of proposals that can be

submitted by an institution, college, school, or other administrative

unit.

(d) All of these determinations will be published as a part of the

program announcement in the Federal Register.

(e) For each USDA Graduate Fellow who desires to be considered for

a special international study or thesis/dissertation research travel

allowance, the project director must apply to HEP for a supplemental

grant in accordance with instructions published in the program

announcement in the Federal Register. Each application must include an

``Application for Funding'' (Form CSRS-661) and a ``Budget'' (Form

CSRS-55). To provide HEP with sufficient information upon which to

evaluate the merits of the requests for a special international study

or thesis/dissertation research travel allowance, each application for

a supplemental grant must contain a narrative which provides the

following: (1) The specific destination(s) and duration of the travel;

(2) the specific study or thesis/dissertation research activities in

which the Fellow will be engated; (3) how the international experience

will contribute to the Fellow's program of study; (4) a budget

narrative specifying and justifying the dollar amount requested for the

travel; (5) summary credentials of the faculty or other professionals

with whom the Fellow will be working during the international

experience (summary credentials must not exceed three pages per person;

``Summary Vita--Teaching Proposal'' (Form CSRS-708) may be used for

this purpose); (6) a letter from the dean of the Fellow's college or

equivalent administrative unit supporting the Fellow's travel request

and certifying that the travel experience will not jeopardize the

Fellow's satisfactory progress toward degree completion; and (7) a

letter from the fellowship grant project director certifying the

Fellow's eligibility, the accuracy of the Fellow's travel request, and

the relevance of the travel to the Fellow's advanced degree objectives.

The narrative portion of the application must not exceed 10 pages,

excluding the summary vita/vitae.

(f) All complete requests will be evaluated by professional staff

from USDA or other Federal agencies, as appropriate. Evaluation

criteria will be published in the program announcement in the Federal

Register. Awards will be made to the extent possible based on

availability of funds.

(g) Any current fellow with sufficient time to complete the

international experience before the termination date of the grant under

which he/she is supported is eligible for a special international study

or thesis/dissertation research travel allowance. Before the

international study or thesis/dissertation research travel may

commence, a Fellow must have completed one academic year of full-time

study, as defined by the institution, under the fellowship appointment

and arrangements must have been formalized for the Fellow to study and/

or conduct research in the foreign location(s).

Sec. 3402.6 Fellowship appointments.

(a) Fellows must be identified and fellowships must be awarded

within 15 months of the effective date of a grant. Institutions failing

to meet this deadline will be required to refund monies associated with

any unawarded fellowship(s). Fellowship appointments may be held only

by persons who enroll and pursue full-time study in a graduate degree

program in the national need area and at the degree level supported by

the grant. In addition, fellows: (1) Must be newly recruited; (2) must

not have been enrolled previously in the academic program at the same

degree level; (3) must be citizens or nationals of the United States as

determined in accordance with Federal law; and (4) must have strong

interest, as judged by the institution, in pursuing a degree in a

targeted national need area and in preparing for a career as a food or

agricultural scientist or professional. It will be the responsibility

of the grantee institution to award fellowships to students of superior

academic ability. A doctoral Fellow who maintains satisfactory progress

in his or her course of study is eligible for support for a maximum of

36 months within a 45-month period. Master's level Fellows, maintaining

satisfactory progress, are eligible for support for a maximum of 24

months during a 33-month period. However, it is the intent of this

program that Fellows pursue full-time uninterrupted study or thesis/

dissertation research, including time spent pursuing USDA-funded

special international study or thesis/dissertation research activities.

For Fellows requiring additional time to complete a degree, it is

expected that the institution will endeavor to continue supporting

individuals originally appointed to fellowships through such other

institutional means as teaching assistantships and research

assistantships. For Fellows who complete the program of study early

(less than 24 months for Master's degree or 36 months for doctoral

degree), the institution must refund any unexpended monies to the

granting agency.

(b) Within the framework of the regulations in this part, all

decisions with respect to the appointment of Fellows will be made by

the institution. However, institutions are urged to take maximum

advantage of opportunities for awarding fellowships to members of

underrepresented groups at the graduate level in the food and

agricultural sciences, particularly minorities and women. Throughout a

Fellow's tenure, the institution should satisfy itself that the Fellow

is making satisfactory academic progress, and carrying out, or planning

to carry out, national needs related research. If an institution finds

it necessary to terminate support of a Fellow for insufficient academic

progress or by decision on the part of the Fellow, the Fellow becomes

ineligible for future assistance under the program. If a Fellow finds

it necessary to interrupt his or her program of study because of

health, personal reasons, outside employment, or acceptance of an

assistantship, the institution must reserve the funds for the purpose

of allowing the Fellow to resume funded study any time within a 9-month

period. However, a Fellow who finds it necessary to interrupt his or

her program of study more than one time cannot exceed a total of 9

months' cumulative leave status without forfeiting eligibility. For

fellowships terminated because of insufficient academic progress, a

decision on the part of the Fellow, or reserved due to an interrupted

program of study but not resumed within the required time period,

unexpended monies must be refunded. Institutions may not use unexpended

monies associated with a terminated fellowship to recruit and support a

``replacement'' Fellow.

(c) Only Fellows enrolled in Master's programs of study may be

supported under a Master's fellowship grant. Only Fellows enrolled in

doctoral programs of study may be supported under a doctoral fellowship

grant.

Sec. 3402.7 Fellowship activities.

A Fellow must be enrolled as a full-time graduate student, as

defined by the institution, at all times during the tenure of the

fellowship in the national need area and at the degree level supported

by the grant. This includes the time used for special international

study or thesis/dissertation research if the international travel is

funded through a special international study or thesis/dissertation

research travel allowance under this grant program. However, the normal

requirement of formal registration during part of this tenure may be

waived if permitted by the policy of the fellowship institution,

provided that the fellow is making satisfactory progress toward degree

completion and remains engaged in appropriate full-time fellowship

activities such as thesis/dissertation research. Fellows in academic

institutions are not entitled to vacations as such. They are entitled

to the short normal student holidays observed by the institution. The

time between academic semesters or quarters is to be utilized as an

active part of the grant period. During the period of support, a Fellow

may not accept employment by the institution or any other agency.

However, a grant supporting research costs of the Fellow is acceptable,

exclusive of salary or wages and fringe benefits for the Fellow.

Sec. 3402.8 Financial provisions.

The basic fellowship stipend, cost-of-education institutional

allowance, and special international study or thesis/dissertation

research travel allowance that may be paid from grant funds will be

determined by HEP contingent upon appropriations. The amount of the

stipend, cost-of-education institutional allowance, and special

international study or thesis/dissertation research travel allowance

will be cited in the program announcement in the Federal Register. An

institution may elect to apply the cost-of-education institutional

allowance to a Fellow's tuition and fees; however, such is not

required. The allowance also may be used by an institution to defray

other program expenses (e.g., recruitment, travel, publications, or

salaries of project personnel). Tuition and fees are the responsibility

of the Fellow unless an institution elects to use its cost-of-education

institutional allowance for this purpose or elects to pay such costs

out of other non-USDA monies. No dependency allowances are provided for

Fellows. Stipend payments and special international study or thesis/

dissertation research travel allowances will be made to Fellows by the

institution, according to standard institutional procedures for

fellowships and assistantships.

Subpart C--Preparation of a Proposal

Sec. 3402.9 Application package.

An application package will be made available to any potential

grant applicant upon request. This package will include all necessary

forms and instructions to apply for a grant under this program. The

package also includes the regulatory provisions applicable to the

program.

Sec. 3402.10 Proposal cover page.

The Proposal Cover Page, Form CSRS-701, must be completed in its

entirety including all authorizing signatures. One copy of each grant

application must contain the original pen-and-ink signatures of:

(a) The Project Director(s);

(b) The Authorized Certifying Representative for the college or

equivalent administrative unit; and

(c) The Authorized Certifying Representative for the institution.

Sec. 3402.11 National need summary.

Using the National Need Summary, Form CSRS-702, applicants must

summarize the proposed graduate program of study and the academic and

research strengths of the institution in the national need area for

which funding is requested. To the extent possible, applicants should

emphasize the uniqueness of the proposed graduate program of study. The

summary should not include any reference to the specific number of

fellowships requested. The information on the summary page will be used

in assigning the most appropriate panelists to review a proposal. If a

proposal is supported, this page may be used in program publications.

Sec. 3402.12 National need narrative.

A narrative for the national need area should be written in five

sections, limited to no more than 20 pages, and preceded by a table of

contents. The table of contents is not considered part of the 20-page

limitation. The narrative should be typed on one side of the page only,

using a font no smaller than 12 point, and double-spaced. The five

sections to be included in the narrative are as follows:

Sec. 1. In this section, applicants should establish clearly

that the proposed program of study and research will result in the

development of outstanding expertise in the national need area for

which funding is requested and will do so in a reasonable period of

time. Applicants should present a detailed description of the

proposed graduate program of study and research. This section of the

narrative should contain, but need not be limited to, the following

components:

(a) The plan should specifically address the course work which

Fellows will be required to take rather than the overall spectrum of

departmental offerings. Identify courses, summarize content, and

discuss sequencing. Explain how course work will relate to Fellows'

research.

(b) Identify and describe areas of research that Fellows will be

encouraged to engage in via a thesis or dissertation.

(c) Discuss graduate program examination requirements, such as a

proficiency or qualifying examination, a comprehensive examination,

and an oral examination.

(d) include a projected timetable for completing the proposed

graduate program of study and research.

(e) If admission to a proposed doctoral program does not require

a Master's degree, discuss how institutional procedures allow for

the bypass of a Master's degree.

Sec. 2. In this section, applicants should highlight thoroughly

any special features of the graduate program such as the extent to

which it will involve an interdisciplinary, multi-disciplinary, or

cross-disciplinary approach resulting in the development of

expertise transcending a single discipline. Applicants should also

discuss any other special features such as development of an unusual

collateral specialization in a related discipline, experiential

learning opportunities such as practicums or internships, unique

mentoring programs, seminars, or a multi-university collaborative

approach.

Sec. 3. In this section, applicants should substantiate clearly

the institution's position that it presently provides a major,

productive, and recognized program of graduate study and research at

the level(s) of study in the area of national need in which selected

Fellows would be engaged. Applicants should include evidence of the

quality of existing academic attributes and resources of the

institution such as teaching and research faculty, instructional and

research instrumentation and facilities, library resources,

computing resources, and other such indicators of academic quality.

Also, applicants should discuss the extent to which graduate

students have access to such institutional resources.

Sec. 4. In this section, applicants should document thoroughly

the institution's plans and procedures for managing fellowship

appointments. Applicants should explain in-depth the plan for

recruiting academically outstanding Fellows and procedures for

selecting Fellows of superior quality who appear to be highly

motivated to prepare for and pursue a career as a food or

agricultural scientist or professional. In addition, applicants

should cite specified plans for advising and guiding Fellows through

a program of study, as well as any special programs or activities

that will be offered to enrich the Fellows' graduate study.

Particular attention should be given to the plans and procedures for

recruiting and retaining members of underrepresented groups.

Sec. 5. In this section, applicants should include important

supplementary summary data for the institution relevant to the

national need area for which funding is requested. Examples of

appropriate data are indices of student quality, enrollments and

degrees awarded for recent years, placement of graduates,

facilities, faculty research support, and publications of previous

graduate students. To the extent possible, applicants should present

the supplementary summary data in tabular form.

Sec. 3402.13 Budget.

Applicants must prepare the Proposal Budget, Form CSRS-703,

identifying all costs associated with the proposal. Instructions for

completing the ``Proposal Budget'' are provided on the form. Pagination

for the budget page should be continuous following the national need

narrative and so indicated in the table of contents.

Sec. 3402.14 Faculty vitae.

This section should include a Summary Vita, Form CSRS-708, for each

faculty member contributing significantly to institutional competence

at the level of graduate study for the national need area addressed in

the proposal. Applicants should arrange the faculty vitae with the

project director(s) first, followed by the remaining faculty, in

alphabetical order. Pagination for the faculty vitae should be

continuous following the budget page and so indicated in the table of

contents.

Sec. 3402.15 Appendix.

Any additional supporting information deemed essential for

clarifying and/or strengthening the proposal should be included in an

Appendix and referenced in the national need narrative. To the extent

possible, applicants should present supporting information included in

the Appendix in tabular form. Pagination for the Appendix should be

continuous following the faculty vitae and so indicated in the table of

contents.

Subpart D--Submission of a Proposal

Sec. 3402.16 Intent to submit a proposal.

To assist HEP in preparing for review of fellowship proposals,

institutions planning to submit proposals for fellowships may be

requested to complete and return an Intent to Submit a Proposal form

(Form CSRS-706). When required, applicants should complete and return

one form for each proposal they anticipate submitting. Sending this

form does not commit an institution to any course of action. The

program announcement published in the Federal Register will delineate

if, when, and where the Intent to Submit a Proposal Form should be

sent.

Sec. 3402.17 Where to submit a proposal.

The program announcement published in the Federal Register will

delineate the date for submission of proposals and the number of

proposal copies required to apply for a grant. In addition, the program

announcement will provide the address to which the proposal, its

accompanying duplicate copies, and the institution's latest graduate

catalog should be mailed.

Subpart E--Proposal Review and Evaluation

Sec. 3402.18 Proposal review.

The proposal evaluation process includes both USDA internal staff

review and merit evaluation by panels of scientists, educators,

industrialists, and Government officials who are highly qualified to

render expert advice in the targeted areas. The goal of the process of

selection and structuring of evaluation panels is to provide optimum

expertise and objective judgment in the evaluation of proposals

specific to a particular area of national need.

Sec. 3402.19 Evaluation criteria.

Proposals addressing a particular national need area at a

particular degree level will be evaluated in competition with other

proposals addressing the same national need area at the same degree

level. Both USDA internal staff and the panelists will evaluate

proposals primarily on the basis of the following criteria:

------------------------------------------------------------------------

Weight

Evaluation criterion (points)

------------------------------------------------------------------------

a. The degree to which the proposal establishes clearly that

the proposed program of graduate study will result in the

development of outstanding scientific/professional expertise

related to the national need area and will do so in a

reasonable period of time.................................... 30

b. The degree to which the proposal highlights thoroughly any

special features such as an inter-disciplinary, multi-

disciplinary, or cross-disciplinary approach, an unusual

collateral specialization in a related discipline,

experiential learning opportunities, unique mentoring

programs, seminars, or a multi-university collaborative

approach..................................................... 10

c. The degree to which the proposal substantiates clearly that

the institution's faculty, facilities and equipment,

instructional support resources, and other academic

attributes are excellent for providing outstanding graduate

study and research at the forefront of science and technology

related to the chosen area of national need.................. 20

d. The degree to which the institution's plans and procedures

for recruiting and selecting academically outstanding Fellows

and for advising and guiding Fellows through a program of

study reflect excellence as documented in the proposal....... 20

e. The degree to which supplementary summary data substantiate

program quality in the targeted national need area........... 10

f. The quality of the proposal as reflected by its substantive

content, organization, clarity, and accuracy................. 10

------------------------------------------------------------------------

Additional or amended evaluation criteria and new point weightings

may be cited in the program announcement published in the Federal

Register.

Subpart F--Supplementary Information

Sec. 3402.20 Terms and conditions of grant awards.

Within the limit of funds available for such purpose, the awarding

official shall make project 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 part. The beginning of the project period shall be no later than

September 30 of the Federal fiscal year in which the project is

approved for support. All funds granted under this part shall be

expended solely for the purpose for which the funds are granted in

accordance with the approved application and budget, the regulations of

this part, the terms and conditions of the award, the applicable

Federal cost principles, and the Department's Uniform Federal

Assistance Regulations (7 CFR Part 3015).

Sec. 3402.21 Grant awards.

(a) The grant award document shall include, at a minimum, the

following:

(1) Legal name and address of performing organization.

(2) Title of project.

(3) Name(s) and address(es) of Project Director(s).

(4) Identifying grant number assigned by the Department.

(5) Project period, which specifies how long the Department intends

to support the effort without requiring reapplication for funds.

(6) Total amount of Federal financial assistance approved during

the project period.

(7) Legal authority under which the grant is awarded.

(8) Approved budget plan for categorizing allocable project funds

to accomplish the stated purpose of the grant award.

(9) Other information or provisions deemed necessary by the

Department to carry out its granting activities or to accomplish the

purpose of this particular project grant.

(b) The notice of grant award, in the form of a letter, will

provide pertinent instructions and information to the grantee that are

not included in the grant award document described above.

(c) The major types of grant instruments shall be as follows:

(1) New grant. This is a grant instrument by which HEP agrees to

support a specified number of graduate Fellows at a specific

institution via funds for fixed graduate student stipends and fixed

cost-of-education institutional allowances. This type of grant is

approved on the basis of peer review recommendation.

(2) Supplemental grant. This is an instrument by which HEP agrees

to provide additional funding under a new grant as specified in

paragraph (c)(1) of this section to provide special international study

or thesis/dissertation research travel allowances for graduate Fellows.

This type of grant will not require additional peer review.

Sec. 3402.22 Other Federal statutes and regulations that apply.

Several other Federal regulations or statutes apply to project

grants awarded under this part. These include but are not limited to:

7 CFR Part 1.1--USDA implementation of the Freedom of Information

Act.

7 CFR Part 3--USDA implementation of OMB Circular No. A-129

regarding debt collection.

7 CFR Part 15, Subpart A--USDA implementation of Title VI of the

Civil Rights Act of 1964.

7 CFR Part 3015--USDA Uniform Federal Assistance Regulations, as

amended, implementing OMB directives (i.e., Circular Nos. A-110 and A-

21), as well as general policy requirements applicable to recipients of

Departmental financial assistance.

7 CFR Part 3017--USDA implementation of Governmentwide Debarment

and Suspension (Nonprocurement) and Governmentwide Requirements for

Drug-Free Workplace (Grants), as amended.

7 CFR Part 3018--USDA implementation of New Restrictions on

Lobbying. Imposes new prohibitions and requirements for disclosure and

certification related to lobbying on recipients of Federal contracts,

grants, cooperative agreements, and loans.

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--CSRS implementation of the National Environmental

Policy Act.

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 or small business firms and

domestic nonprofit organizations, including universities, in federally

assisted programs (implementing regulations are contained in 37 CFR

Part 401).

Sec. 3402.23 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 Agency and the grantee mutually agree 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.

Sec. 3402.24 Access to peer review information.

After final decisions have been announced, HEP will, upon request,

inform the project director of the reasons for its decision on a

proposal. Verbatim copies of summary reviews, not including the

identify of the reviewers, will be made available to respective project

directors upon specific request.

Sec. 3402.25 Document of progress on funded projects.

(a) A Fellowship Appointment Documentation form (Form CSRS-707) is

included in the application package. Upon request by HEP, project

directors awarded grants under the program will be required to complete

and submit this form. Follow-up progress reports will focus on

assessing continuing progress of Fellows through their graduate

programs of study (including activities supported by any special

international study or thesis/dissertation research allowance) and on

institution adherence to program guidelines.

(b) A Graduate Fellow Exit Report (Form CSRS-709) is included in

the application package. This form should be completed and submitted to

HEP by the project director for each Fellow supported by a grant as

soon as a Fellow either:

(1) graduates; (2) is officially terminated from the fellowship or

the academic program due to unsatisfactory academic progress; or (3)

voluntarily withdraws from the fellowship or the academic program. If a

Fellow has not completed all degree requirements at the end of the

five-year grant duration, HEP may request a preliminary exit report. In

such a case, a final exit report will be required at a later date. When

a final exit report for each Fellow supported by a grant has been

accepted by USDA, the grantee institution will have satisfied the

requirement of a final performance report for the grant. Additional

follow-up reports to track the Fellows' career patterns may be

requested.

(c) A Final Report must be completed and returned within 90 days

after the expiration date of the project. The Final Report must be

submitted to the program contact person and must contain proper data

and information as specified in the ``Special Terms and Conditions'' of

the award. Generally, the Final Report should include a summary of:

recruitment strategies that were effective; successful mentoring

procedures or activities; enrichment activities the fellows were

afforded; barriers faced in recruiting and graduating fellows; and the

impact of the fellowship grant on the overall quality of the

educational programs of the institution.

Sec. 2402.26 Evaluation of program.

Grantees should be aware that HEP may, as a part of its own program

evaluation activities, carry out in-depth evaluations of assisted

activities through independent third parties. Thus, grantees should be

prepared to cooperate with evaluators retained by HEP to analyze both

the institutional context and the impact of any supported project.

Done at Washington, D.C., this 19th day of September 1994.

John Patrick Jordan,

Administrator, Cooperative State Research Service.

[FR Doc. 94-23544 Filed 9-22-94; 8:45 am]

BILLING CODE 3410-22-M