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

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URL: https://www.frixlaw.com/law-library/documents/fr%3A94-23544

## Record

- **Collection:** Federal Register
- **Document type:** Uncategorized Document
- **Published:** September 23, 1994

## Text

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

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Source: Frix Law Library, https://www.frixlaw.com/law-library/documents/fr%3A94-23544. Public record. Not legal advice.