Higher Education Challenge Grants Program; Administrative Provisions

DEPARTMENT OF AGRICULTURE

Cooperative State Research, Education, and Extension Service

7 CFR Part 3405

RIN 0524-AA02

Higher Education Challenge Grants Program; Administrative

Provisions

AGENCY: Cooperative State Research, Education, and Extension Service,

USDA.

ACTION: Final rule.

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SUMMARY: The Cooperative State Research, Education, and Extension

Service (CSREES) adds a new part 3405 to Title 7, subtitle B, chapter

XXXIV of the Code of Federal Regulations, for the purpose of

administering the Higher Education Challenge Grants Program conducted

under the authority of section 1417(b)(1) of the National Agricultural

Research, Extension, and Teaching Policy Act of 1977, as amended (7

U.S.C. 3152). This action establishes and codifies the administrative

procedures to be followed annually in the solicitation of competitive

proposals, the evaluation of such proposals, and the award of grants

under this program.

DATES: Effective August 21, 1997.

FOR FURTHER INFORMATION CONTACT: Dr. Jeffrey L. Gilmore at 202-720-1973

(voice), 202-720-2030 (fax) or via electronic mail at

[email protected].

SUPPLEMENTARY INFORMATION: CSREES published a Notice of Proposed

Rulemaking (NPRM) on the administrative provisions for the Higher

Education Challenge Grants Program in the Federal Register on December

19, 1995 (60 FR 65444-65454).

Public Comments and Statutory Changes

In the NPRM, CSREES invited comments on the proposed regulations

for consideration in the formulation of a final rule. Four comments

were received.

One commenter generally endorsed the proposed rule but did not

comment on any particular provisions.

Another commenter questioned if college and university teaching

programs at the master's and doctoral degree levels were eligible for

grants. Both the NPRM and this final rule provide that the Higher

Education Challenge Grants Program may support projects to strengthen

undergraduate or graduate teaching programs. Projects at the master's

and doctoral degree levels are eligible for grants. Based on the amount

of funds appropriated in any fiscal year, CSREES determines and cites

in the annual program announcement the degree level(s) to be supported.

The third commenter asked if grants could be made to foundations

associated or affiliated with colleges or universities. The Higher

Education Challenge Grants Program operates under the authority of

section 1417(b) of the National Agricultural Research, Extension, and

Teaching Policy Act of 1977, as amended (NARETPA)(7 U.S.C. 3152 (b)).

Section 805(b) of the Federal Agriculture Improvement and Reform Act of

1996 (FAIR Act)(Pub. L. 104-127, April 4, 1996), amended the grant

eligibility requirements of section 1417 of NARETPA to include a

research foundation maintained by an eligible college or university.

This final rule modifies the NPRM by incorporating the FAIR Act

authorization for grants to research foundations of eligible

institutions by including such foundations in the definition of

``eligible institution'' in Sec. 3405.2(i) of this final rule.

A fourth commenter asked if only four-year colleges and

universities are eligible to apply for grants. The Higher Education

Challenge Grants Program operates under the authority of section

1417(b) of NARETPA. Community colleges and other two-year institutions

are not eligible for grants awarded under this section. Section 1417(b)

of NARETPA authorizes the Secretary of Agriculture to make competitive

grants to certain ``colleges and universities.'' The terms ``college''

and ``university'' are defined in section 1404(4)(C) of NARETPA (7

U.S.C. 3103(4)(C)) as educational institutions that provide ``an

educational program for which a bachelor's degree or any other higher

degree is awarded.''

This final rule modifies the NPRM by incorporating the change in

eligibility for a research foundation into the definition of ``eligible

institution'' in Sec. 3405.2(i) and adding the word ``eligible'' before

``institution'' in Sec. 3405.2(l). The reference in Sec. 3405.17(a) to

7 CFR part 3015 has been changed to reflect the currently applicable

USDA assistance regulations at 7 CFR part 3019. References to ``CSRS''

forms have been changed to ``CSREES'' forms.

Minor changes have been made to the provisions for grant extensions

in Sec. 3405.18(c). These changes reflect existing law and allow

flexibility in defining the terms for extensions in each agreement.

Thus, CSREES does not think further comment is required.

There are no other substantive differences between the NPRM and

this final rule.

Background and Purpose

This document adds a new part 3405 to title 7, subtitle B, chapter

XXXIV of the Code of Federal Regulations, for the purpose of

administering the Higher Education Challenge Grants Program. Under the

authority of section 1417(b)(1) of the National Agricultural Research,

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

3152(b)(1)), the Secretary of Agriculture is authorized to conduct

competitive grant programs to strengthen institutional capacities,

including curriculum, faculty, scientific instrumentation, instruction

delivery systems, and student recruitment and retention, to respond to

identified State, regional, national, or international educational

needs in the food and agricultural sciences. The issuance of this rule

will establish and codify the administrative procedures to be followed

annually in the solicitation of competitive grant proposals, the

evaluation of such proposals, and the award of grants under this

program.

The Challenge Grants Program is intended to assist colleges and

universities in the United States, having a demonstrable capacity to

carry out the teaching of the food and agricultural sciences, in

providing high quality educational programs in the food and

agricultural sciences. These programs will, in turn, attract

outstanding students and produce graduates capable of strengthening the

Nation's food and agricultural scientific and professional work force.

Classification

Executive Order No. 12866

This rule has been determined to be not significant for purposes of

Executive Order 12866 and therefore has not been reviewed by the Office

of Management and Budget. It has been determined that this rule is not

a ``significant regulatory action'' rule because it will not have an

annual effect on the economy of $100 million or more or adversely and

materially affect a sector of the economy, productivity, competition,

jobs, the environment, public health or safety, or State, local, or

tribal governments or communities. This rule will not create any

serious inconsistencies or otherwise interfere with actions taken or

planned by another agency. It will not materially alter the budgetary

impact of entitlements, grants, user fees, or loan programs, or the

rights and obligations of recipients thereof, and does not raise novel

legal or policy issues arising out of legal mandates, the President's

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priorities, or principles set forth in Executive Order No. 12866.

Paperwork Reduction

Under the provisions of the Paperwork Reduction Act of 1995, as

amended (44 U.S.C. Chapter 35), the collection of information

requirements contained in this final rule have been reviewed and

approved by OMB and given the OMB Document Nos. 0524-0022, 0524-0024,

and 0524-0030. The public reporting burden for the information

collections contained in these regulations (Forms CSREES-663, CSREES-

708, CSREES-711, CSREES-712, and CSREES-713 as well as the Proposal

Summary, Proposal Narrative, and the Budget Narrative) is estimated to

be 39\1/2\ hours per response, including the time for reviewing

instructions, searching existing data sources, gathering and

maintaining the data needed, and completing and reviewing the

collection of information. Send comments regarding this burden estimate

or any other aspect of this collection of information, including

suggestions for reducing this burden, to the Department of Agriculture,

Clearance Officer, Office of the Chief Information Officer, Stop 7603,

1400 Independence Avenue, SW., Washington, DC 20250-7630, and to the

Office of Management and Budget, Paperwork Reduction Project,

Washington, DC 20503. This rule has no additional impact on any

existing data collection burden.

Regulatory Flexibility Act

The Administrator, CSREES, certifies that this rule will not have a

significant impact on a substantial number of small entities as defined

in the Regulatory Flexibility Act, Pub. L. 96-534, as amended (5 U.S.C.

601 et seq.). Accordingly, a regulatory flexibility analysis is not

required for this final rule.

Executive Order No. 12612

This rule involves no policies that have federalism implications

under Executive Order No. 12612, Federalism, dated October 26, 1987.

Catalog of Federal Domestic Assistance

This program is listed in the Catalog of Federal Domestic

Assistance under No. 10.217, Higher Education Challenge Grants Program.

For the reasons set forth in the Final Rule related Notice to 7 CFR

part 3015, subpart V, 57 FR 15278, April 27, 1992, this program is

excluded from the scope of Executive Order 12372 which requires

intergovernmental consultation with State and local officials.

List of Subjects in 7 CFR Part 3405

Grant programs--agriculture. Agriculture Higher Education Programs.

For the reasons set forth in the preamble, title 7, subtitle B,

chapter XXXIV, of the Code of Federal Regulations is amended by adding

part 3405 to read as follows:

PART 3405--HIGHER EDUCATION CHALLENGE GRANTS PROGRAM

Subpart A--General Information

Sec.

3405.1 Applicability of regulations.

3405.2 Definitions.

3405.3 Institutional eligibility.

Subpart B--Program Description

3405.4 Purpose of the program.

3405.5 Matching funds.

3405.6 Scope of program.

3405.7 Joint project proposals.

3405.8 Complementary project proposals.

3405.9 Use of funds for facilities.

Subpart C--Preparation of a Proposal

3405.10 Program application materials.

3405.11 Content of a proposal.

Subpart D--Submission of a Proposal

3405.12 Intent to submit a proposal.

3405.13 When and where to submit a proposal.

Subpart E--Proposal Review and Evaluation

3405.14 Proposal review.

3405.15 Evaluation criteria.

Subpart F--Supplementary Information

3405.16 Access to peer review information.

3405.17 Grant awards.

3405.18 Use of funds; changes.

3405.19 Monitoring progress of funded projects.

3405.20 Other Federal statutes and regulations that apply.

3405.21 Confidential aspects of proposals and awards.

3405.22 Evaluation of program.

Authority: Sec. 1470, National Agricultural Research, Extension,

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

Subpart A--General Information

Sec. 3405.1 Applicability of regulations.

(a) The regulations of this part only apply to competitive Higher

Education Challenge Grants awarded under the provisions of section

1417(b)(1) of the National Agricultural Research, Extension, and

Teaching Policy Act of 1977, as amended (NARETPA)(7 U.S.C. 3152(b)(1)),

to strengthen institutional capacities, including curriculum, faculty,

scientific instrumentation, instruction delivery systems, and student

recruitment and retention. Section 1405 of NARETPA (7 U.S.C. 3121)

designates the U.S. Department of Agriculture (USDA) as the lead

Federal agency for agricultural research, extension, and teaching in

the food and agricultural sciences. Section 1417 of NARETPA (7 U.S.C.

3152) authorizes the Secretary of Agriculture, who has delegated the

authority to the Administrator of the Cooperative State Research,

Education, and Extension Service (CSREES), to make competitive grants

to land-grant colleges and universities, to colleges and universities

having significant minority enrollments and a demonstrable capacity to

carry out the teaching of food and agricultural sciences, and to other

colleges and universities having a demonstrable capacity to carry out

the teaching of food and agricultural sciences, for a period not to

exceed 5 years, to administer and conduct programs to respond to

identified State, regional, national, or international educational

needs in the food and agricultural sciences.

(b) To the extent that funds are available, each year CSREES will

publish a Federal Register notice announcing the program and soliciting

grant applications.

(c)(1) Based on the amount of funds appropriated in any fiscal

year, CSREES will determine and cite in the program announcement:

(i) The targeted need area(s) to be supported or, if the entire

scope of a particular targeted need area is not to be supported, the

specific special interest(s) within that targeted need area to be

supported;

(ii) The degree level(s) to be supported;

(iii) The maximum project period a proposal may request;

(iv) The maximum amount of funds that may be requested by an

institution under a regular, complementary, or joint project proposal;

and

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

under the program in a given fiscal year, including how funds awarded

for complementary and for joint project proposals will be counted

toward the institutional maximum.

(2) The program announcement will also specify the deadline date

for proposal submission, the number of copies of each proposal that

must be submitted, the address to which a proposal must be submitted,

and whether or not Form CSREES-711, ``Intent to Submit a Proposal,'' is

requested.

(d)(1) If it is deemed by CSREES that, for a given fiscal year,

additional determinations are necessary, each, as relevant, will be

stated in the program announcement. Such determinations may include:

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(i) Limits on the subject matter/emphasis areas to be supported;

(ii) The maximum number of proposals that may be submitted on

behalf of the same school, college, or equivalent administrative unit

within an institution;

(iii) The maximum total number of proposals that may be submitted

by an institution;

(iv) The minimum project period a proposal may request;

(v) The minimum amount of funds that may be requested by an

institution under a regular, complementary, or joint project proposal;

(vi) The proportion of the appropriation reserved for, or available

to, regular, complementary, and joint project proposals;

(vii) The proportion of the appropriation reserved for, or

available to, projects in each announced targeted need area;

(viii) The proportion of the appropriation reserved for, or

available to, each subject matter/emphasis area;

(ix) The maximum number of grants that may be awarded to an

institution under the program in a given fiscal year; and

(x) Limits on the use of grant funds for travel or to purchase

equipment, if any.

(2) The program announcement also will contain any other

limitations deemed necessary by CSREES for proper conduct of the

program in the applicable year.

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

the Department of Agriculture under any other authority.

Sec. 3405.2 Definitions.

As used in this part:

(a) Authorized departmental officer means the Secretary or any

employee of the Department who has the authority to issue or modify

grant instruments on behalf of the Secretary.

(b) Authorized organizational representative means the president of

the institution or the official, designated by the president of the

institution, who has the authority to commit the resources of the

institution.

(c) Budget period means the interval of time (usually 12 months)

into which the project period is divided for budgetary and reporting

purposes.

(d) Cash contributions means the applicant's cash outlay, including

the outlay of money contributed to the applicant by non-Federal third

parties.

(e) Citizen or national of the United States means:

(1) A citizen or native resident of a State; or,

(2) A person defined in the Immigration and Nationality Act, 8

U.S.C. 1101(a)(22), who, though not a citizen of the United States,

owes permanent allegiance to the United States.

(f) College or University means an educational institution in any

State which:

(1) Admits as regular students only persons having a certificate of

graduation from a school providing secondary education, or the

recognized equivalent of such a certificate;

(2) Is legally authorized within such State to provide a program of

education beyond secondary education;

(3) Provides an educational program for which a baccalaureate

degree or any other higher degree is awarded;

(4) Is a public or other nonprofit institution; and

(5) Is accredited by a nationally recognized accrediting agency or

association.

(g) Complementary project proposal means a proposal for a project

which involves coordination with one or more other projects for which

funding was awarded under this program in a previous fiscal year, or

for which funding is requested under this program in the current fiscal

year.

(h) Department or USDA means the United States Department of

Agriculture.

(i) Eligible institution means a land-grant or other U.S. college

or university offering a baccalaureate or first professional degree in

at least one discipline or area of the food and agricultural sciences.

The definition includes a research foundation maintained by an eligible

college or university.

(j) Eligible participant means, for purposes of Sec. 3405.6(b),

Faculty Preparation and Enhancement for Teaching, and Sec. 3405.6(f),

Student Recruitment and Retention, an individual who: Is a citizen or

national of the United States, as defined in Sec. 3405.2(e); or is a

citizen of the Federated States of Micronesia, the Republic of the

Marshall Islands, or the Republic of Palau. Where eligibility is

claimed under Sec. 3405.2(e)(2), documentary evidence from the

Immigration and Naturalization Service as to such eligibility must be

made available to CSREES upon request.

(k) Food and agricultural sciences means basic, applied, and

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

agricultural, renewable natural resources, forestry, and physical and

social sciences, in the broadest sense of these terms, including but

not limited to, activities concerned with the production, processing,

marketing, distribution, conservation, consumption, research, and

development of food and agriculturally related products and services,

and inclusive of programs in agriculture, natural resources,

aquaculture, forestry, veterinary medicine, home economics, rural

development, and closely allied disciplines.

(l) Grantee means the eligible institution designated in the grant

award document as the responsible legal entity to which a grant is

awarded.

(m) Joint project proposal means a proposal for a project, which

will involve the applicant institution and two or more other colleges,

universities, community colleges, junior colleges, or other

institutions, each of which will assume a major role in the conduct of

the proposed project, and for which the applicant institution will

transfer at least one-half of the awarded funds to the other

institutions participating in the project. Only the applicant

institution must meet the definition of ``eligible institution'' as

specified in Sec. 3405.2(i); the other institutions participating in a

joint project proposal are not required to meet the definition of

``eligible institution'' as specified in Sec. 3405.2(i), nor required

to meet the definition of ``college'' or ``university'' as specified in

Sec. 3405.2(f).

(n) Land-grant colleges and universities means those institutions

eligible to receive funds under the Act of July 2, 1862 (12 Stat. 503-

505, as amended; 7 U.S.C. 301-305, 307 and 308), or the Act of August

30, 1890 (26 Stat. 417-419, as amended; 7 U.S.C. 321-326 and 328),

including Tuskegee University.

(o) Matching or Cost-sharing means that portion of project costs

not borne by the Federal Government, including the value of in-kind

contributions.

(p) Peer review panel means a group of experts or consultants,

qualified by training and experience in particular fields of science,

education, or technology to give expert advice on the merit of grant

applications in such fields, who evaluate eligible proposals submitted

to this program in their personal area(s) of expertise.

(q) Prior approval means written approval evidencing prior consent

by an authorized departmental officer as defined in Sec. 3405.2(a) of

this part.

(r) Project means the particular activity within the scope of one

or more of the targeted areas supported by a grant awarded under this

program.

(s) Project director means the single individual designated by the

grantee in the grant application and approved by the Secretary who is

responsible for the

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direction and management of the project.

(t) Project period means the period, as stated in the award

document and modifications thereto, if any, during which Federal

sponsorship begins and ends.

(u) Secretary means the Secretary of Agriculture and any other

officer or employee of the Department of Agriculture to whom the

authority involved may be delegated.

(v) State means any one of the fifty States, the Commonwealth of

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

Marianas, the Virgin Islands of the United States, and the District of

Columbia.

(w) Teaching means formal classroom instruction, laboratory

instruction, and practicum experience in the food and agricultural

sciences and matters related thereto (such as faculty development,

student recruitment and services, curriculum development, instructional

materials and equipment, and innovative teaching methodologies)

conducted by colleges and universities offering baccalaureate or higher

degrees.

(x) Third party in-kind contributions means non-cash contributions

of property or services provided by non-Federal third parties,

including real property, equipment, supplies and other expendable

property, directly benefiting and specifically identifiable to a funded

project or program.

(y) United States means the several States, the territories and

possessions of the United States, the Commonwealth of Puerto Rico,

Guam, American Samoa, the Commonwealth of the Northern Marianas, the

Virgin Islands of the United States, and the District of Columbia.

Sec. 3405.3 Institutional eligibility.

Proposals may be submitted by land-grant and other U.S. colleges

and universities offering a baccalaureate or first professional degree

in at least one discipline or area of the food and agricultural

sciences. Each applicant must have a demonstrable capacity for, and a

significant ongoing commitment to, the teaching of food and

agricultural sciences generally and to the specific need and/or subject

area(s) for which a grant is requested. Awards may be made only to

eligible institutions as defined in Sec. 3405.2(i).

Subpart B--Program Description

Sec. 3405.4 Purpose of the program.

The Department of Agriculture is designated as the lead Federal

agency for higher education in the food and agricultural sciences. In

this context, CSREES has specific responsibility to initiate and

support projects to strengthen college and university teaching programs

in the food and agricultural sciences. One national initiative for

carrying out this responsibility is the competitive Higher Education

Challenge Grants Program. A primary goal of the program is to attract

and ensure a continual flow of outstanding students into food and

agricultural sciences higher education programs and to provide them

with an education of the highest quality available anywhere in the

world and which reflects the unique needs of the Nation. It is designed

to stimulate and enable colleges and universities to provide the

quality of education necessary to produce baccalaureate or higher

degree level graduates capable of strengthening the Nation's food and

agricultural scientific and professional work force. It is intended

that projects supported by the program will:

(a) Address a State, regional, national, or international

educational need;

(b) Involve a creative or nontraditional approach toward addressing

that need which can serve as a model to others;

(c) Encourage and facilitate better working relationships in the

university science and education community, as well as between

universities and the private sector, to enhance program quality and

supplement available resources; and

(d) Result in benefits which will likely transcend the project

duration and USDA support.

Sec. 3405.5 Matching funds.

Each application must provide for matching support from a non-

Federal source. CSREES will cite in the program announcement the

required percentage of institutional cost sharing.

Sec. 3405.6 Scope of Program.

This program supports projects related to strengthening

undergraduate or graduate teaching programs as specified in the annual

program announcement. Only proposals addressing one or more of the

specific targeted need areas(s) identified in the program announcement

will be funded. Proposals may focus on any subject matter area(s) in

the food and agricultural sciences unless limited by determinations as

specified in the annual program announcement. A proposal may address a

single targeted need area or multiple targeted need areas, and may be

focused on a single subject matter area or multiple subject matter

areas, in any combination (e.g., curriculum development in

horticulture; curriculum development, faculty enhancement, and student

experiential learning in animal science; faculty enhancement in food

science and agribusiness management; or instruction delivery systems

and student experiential learning in plant science, horticulture, and

entomology). Targeted need areas will consist of one or more of the

following:

(a) Curricula design and materials development. (1) The purpose of

this initiative is to promote new and improved curricula and materials

to increase the quality of, and continuously renew, the Nation's

academic programs in the food and agricultural sciences. The overall

objective is to stimulate the development and facilitate the use of

exemplary education models and materials that incorporate the most

recent advances in subject matter, research on teaching and learning

theory, and instructional technology. Proposals may emphasize: the

development of courses of study, degree programs, and instructional

materials; the use of new approaches to the study of traditional

subjects; or the introduction of new subjects, or new applications of

knowledge, pertaining to the food and agricultural sciences.

(2) Examples include, but are not limited to, curricula and

materials that promote:

(i) Raising the level of scholastic achievement of the Nation's

graduates in the food and agricultural sciences.

(ii) Addressing the special needs of particular groups of students,

such as minorities, gifted and talented, or those with educational

backgrounds that warrant enrichment.

(iii) Using alternative instructional strategies or methodologies,

including computer-assisted instruction or simulation modeling, media

programs that reach large audiences efficiently and effectively,

activities that provide hands-on learning experiences, and educational

programs that extend learning beyond the classroom.

(iv) Using sound pedagogy, particularly with regard to recent

research on how to motivate students to learn, retain, apply, and

transfer knowledge, skills, and competencies.

(v) Building student competencies to integrate and synthesize

knowledge from several disciplines.

(b) Faculty preparation and enhancement for teaching. (1) The

purpose of this initiative is to advance faculty development in the

areas of teaching competency, subject matter expertise, or student

recruitment and advising skills. Teachers are central to

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education. They serve as models, motivators, and mentors--the catalysts

of the learning process. Moreover, teachers are agents for developing,

replicating, and exchanging effective teaching materials and methods.

For these reasons, education can be strengthened only when teachers are

adequately prepared, highly motivated, and appropriately recognized and

rewarded.

(2) Each faculty recipient of support for developmental activities

under Sec. 3405.6(b) must be an ``eligible participant'' as defined in

Sec. 3405.2(j) of this part.

(3) Examples of developmental activities include, but are not

limited to, those which enable teaching faculty to:

(i) Gain experience with recent developments or innovative

technology relevant to their teaching responsibilities.

(ii) Work under the guidance and direction of experts who have

substantial expertise in an area related to the developmental goals of

the project.

(iii) Work with scientists or professionals in government,

industry, or other colleges or universities to learn new applications

in a field.

(iv) Obtain personal experience working with new ideas and

techniques.

(v) Expand competence with new methods of information delivery,

such as computer-assisted or televised instruction.

(vi) Increase understanding of the special needs of non-traditional

students or students from groups that are underrepresented in the food

and agricultural sciences workforce.

(c) Instruction delivery systems. (1) The purpose of this

initiative is to encourage the use of alternative methods of delivering

instruction to enhance the quality, effectiveness, and cost efficiency

of teaching programs. The importance of this initiative is evidenced by

advances in educational research which have substantiated the theory

that differences in the learning styles of students often require

alternative instructional methodologies. Also, the rising costs of

higher education strongly suggest that colleges and universities

undertake more efforts of a collaborative nature in order to deliver

instruction which maximizes program quality and reduces unnecessary

duplication. At the same time, advancements in knowledge and technology

continue to introduce new subject matter areas which warrant

consideration and implementation of innovative instruction techniques,

methodologies, and delivery systems.

(2) Examples include, but are not limited to:

(i) Use of computers.

(ii) Teleconferencing.

(iii) Networking via satellite communications.

(iv) Regionalization of academic programs.

(v) Mobile classrooms and laboratories.

(vi) Individualized learning centers.

(vii) Symposia, forums, regional or national workshops, etc.

(d) Scientific instrumentation for teaching. (1) The purpose of

this initiative is to provide students in science-oriented courses the

necessary experience with suitable, up-to-date equipment in order to

involve them in work central to scientific understanding and progress.

This program initiative will support the acquisition of instructional

laboratory and classroom equipment to assure the achievement and

maintenance of outstanding food and agricultural sciences higher

education programs. A proposal may request support for acquiring new,

state-of-the-art instructional scientific equipment, upgrading existing

equipment, or replacing non-functional or clearly obsolete equipment.

(2) Examples include, but are not limited to:

(i) Rental or purchase of modern instruments to improve student

learning experiences in courses, laboratories, and field work.

(ii) Development of new ways of using instrumentation to extend

instructional capabilities.

(iii) Establishment of equipment-sharing capability via consortia

or centers that develop innovative opportunities, such as mobile

laboratories or satellite access to industry or government

laboratories.

(e) Student experiential learning. (1) The purpose of this

initiative is to further the development of student scientific and

professional competencies through experiential learning programs which

provide students with opportunities to solve complex problems in the

context of real-world situations. Effective experiential learning is

essential in preparing future graduates to advance knowledge and

technology, enhance quality of life, conserve resources, and revitalize

the Nation's economic competitiveness. Such experiential learning

opportunities are most effective when they serve to advance decision-

making and communication skills as well as technological expertise.

(2) Examples include, but are not limited to, projects which:

(i) Provide opportunities for students to participate in research

projects, either as a part of an ongoing research project or in a

project designed especially for this program.

(ii) Provide opportunities for students to complete

apprenticeships, internships, or similar participatory learning

experiences.

(iii) Expand and enrich courses which are of a practicum nature.

(iv) Provide career mentoring experiences that link students with

outstanding professionals.

(f) Student recruitment and retention. (1) The purpose of this

initiative is to strengthen student recruitment and retention programs

in order to promote the future strength of the Nation's scientific and

professional work force. The Nation's economic competitiveness and

quality of life rest upon the availability of a cadre of outstanding

research scientists, university faculty, and other professionals in the

food and agricultural sciences. A substantial need exists to supplement

efforts to attract increased numbers of academically outstanding

students to prepare for careers as food and agricultural scientists and

professionals. It is particularly important to augment the racial,

ethnic, and gender diversity of the student body in order to promote a

robust exchange of ideas and a more effective use of the full breadth

of the Nation's intellectual resources.

(2) Each student recipient of monetary support for education costs

or developmental purposes under Sec. 3405.6(f) must be enrolled at an

eligible institution and meet the requirement of an ``eligible

participant'' as defined in Sec. 3405.2(j) of this part.

(3) Examples include, but are not limited to:

(i) Special outreach programs for elementary and secondary students

as well as parents, counselors, and the general public to broaden

awareness of the extensive nature and diversity of career opportunities

for graduates in the food and agricultural sciences.

(ii) Special activities and materials to establish more effective

linkages with high school science classes.

(iii) Unique or innovative student recruitment activities,

materials, and personnel.

(iv) Special retention programs to assure student progression

through and completion of an educational program.

(v) Development and dissemination of stimulating career information

materials.

(vi) Use of regional or national media to promote food and

agricultural sciences higher education.

[[Page 39321]]

(vii) Providing financial incentives to enable and encourage

students to pursue and complete an undergraduate or graduate degree in

an area of the food and agricultural sciences.

(viii) Special recruitment programs to increase the participation

of students from non-traditional or underrepresented groups in courses

of study in the food and agricultural sciences.

Sec. 3405.7 Joint project proposals.

Applicants are encouraged to submit joint project proposals as

defined in Sec. 3405.2(m), which address regional or national problems

and which will result overall in strengthening higher education in the

food and agricultural sciences. The goals of such joint initiatives

should include maximizing the use of limited resources by generating a

critical mass of expertise and activity focused on a targeted need

area(s), increasing cost-effectiveness through achieving economies of

scale, strengthening the scope and quality of a project's impact, and

promoting coalition building likely to transcend the project's lifetime

and lead to future ventures.

Sec. 3405.8 Complementary project proposals.

Institutions may submit proposals that are complementary in nature

as defined in Sec. 3405.2(g). Such complementary project proposals may

be submitted by the same or by different eligible institutions.

Sec. 3405.9 Use of funds for facilities.

Under the Higher Education Challenge Grants Program, the use of

grant funds to plan, acquire, or construct a building or facility is

not allowed. With prior approval, in accordance with the cost

principles set forth in OMB Circular No. A-21, some grant funds may be

used for minor alterations, renovations, or repairs deemed necessary to

retrofit existing teaching spaces in order to carry out a funded

project. However, requests to use grant funds for such purposes must

demonstrate that the alterations, renovations, or repairs are

incidental to the major purpose for which a grant is made.

Subpart C--Preparation of a Proposal

Sec. 3405.10 Program application materials.

Program application materials in an application package will be

made available to eligible institutions upon request. These materials

include the program announcement, the administrative provisions for the

program, and the forms needed to prepare and submit grant applications

under the program.

Sec. 3405.11 Content of a proposal.

(a) Proposal cover page. (1) Form CSREES-712, ``Higher Education

Proposal Cover Page,'' must be completed in its entirety. Note that

providing a Social Security Number is voluntary, but is an integral

part of the CSREES information system and will assist in the processing

of the proposal.

(2) One copy of the Form CSREES-712 must contain the pen-and-ink

signatures of the Project Director(s) and authorized organizational

representative for the applicant institution.

(3) The title of the project shown on the ``Higher Education

Proposal Cover Page'' must be brief (80-character maximum) yet

represent the major thrust of the project. This information will be

used by the Department to provide information to the Congress and other

interested parties.

(4) In block 7. of Form CSREES-712, enter ``Higher Education

Challenge Grants Program.''

(5) In block 8.a. of Form CSREES-712, enter ``Teaching.'' In block

8.b. identify the code for the targeted need area(s) as found on the

reverse of the form. If a proposal focuses on multiple targeted need

areas, enter each code associated with the project and place an

asterisk (*) immediately following the code for the primary targeted

need area. In block 8.c. identify the major area(s) of emphasis as

found on the reverse of the form. If a proposal focuses on multiple

areas of emphasis, enter each code associated with the project. This

information will be used by program staff for the proper assignment of

proposals to peer reviewers.

(6) In block 9. of Form CSREES-712, indicate if the proposal is a

complementary project proposal or a joint project proposal as defined

in Sec. 3405.2(g) and Sec. 3405.2(m), respectively, of this part. If it

is not a complementary project proposal or a joint project proposal,

identify it as a regular project proposal.

(7) In block 13. of Form CSREES-712, indicate if the proposal is a

new, first-time submission or if the proposal is a resubmission of a

proposal that has been submitted to, but not funded under, the Higher

Education Challenge Grants Program in a previous competition.

(b) Table of Contents. For ease in locating information, each

proposal must contain a detailed table of contents just after the

Proposal Cover Page. The Table of Contents should include page numbers

for each component of the proposal. Pagination should begin immediately

following the Table of Contents.

(c) Project summary. (1) A Project Summary should immediately

follow the Table of Contents. The information provided in the Project

Summary may be used by the program staff for a variety of purposes,

including the proper assignment of proposals to peer reviewers and

providing information to peer reviewers prior to the peer panel

meeting. The name of the institution, the targeted need area(s), and

the title of the proposal must be identified exactly as shown on the

``Higher Education Proposal Cover Page.''

(2) If the proposal is a complementary project proposal, as defined

in Sec. 3405.2(g) of this part, indicate such and identify the other

complementary project(s) by citing the name of the submitting

institution, the title of the project, the project director, and the

grant number (if funded in a previous year) exactly as shown on the

cover page of the complementary project so that appropriate

consideration can be given to the interrelatedness of the proposals in

the evaluation process.

(3) If the proposal is a joint project proposal, as defined in

Sec. 3405.2(m) of this part, indicate such and identify the other

participating institutions and the key faculty member or other

individual responsible for coordinating the project at each

institution.

(4) The Project Summary should be a concise description of the

proposed activity suitable for publication by the Department to inform

the general public about awards under the program. The text must not

exceed one page, single-spaced. The Project Summary should be a self-

contained description of the activity which would result if the

proposal is funded by USDA. It should include: The objectives of the

project; a synopsis of the plan of operation; a description of how the

project will strengthen higher education in the food and agricultural

sciences in the United States; and the plans for disseminating project

results. The Project Summary should be written so that a technically

literate reader can evaluate the use of Federal funds in support of the

project.

(d) Resubmission of a proposal.--(1) Resubmission of previously

unfunded proposals. If a proposal has been submitted previously, but

was not funded, such should be indicated in block 13. on Form CSREES-

712, ``Higher Education Proposal Cover Page,'' and the following

information should be included in the proposal: The fiscal year(s) in

which the proposal was submitted previously; a summary of the peer

reviewers' comments; and how these comments have been addressed in

[[Page 39322]]

the current proposal, including the page numbers in the current

proposal where the peer reviewers' comments have been addressed. This

information may be provided as a section of the proposal following the

Project Summary and preceding the proposal narrative or it may be

placed in the Appendix (see Sec. 3405.11(i)). In either case, the

location of this information should be indicated in the Table of

Contents. Further, when possible, the information should be presented

in tabular format. Applicants who choose to resubmit proposals that

were previously submitted, but not funded, should note that resubmitted

proposals must compete equally with newly submitted proposals.

Submitting a proposal that has been revised based on a previous peer

review panel's critique of the proposal does not guarantee the success

of the resubmitted proposal.

(2) Resubmission of previously funded proposals. The Higher

Education Challenge Grants Program is not designed to support

activities that essentially are repetitive in nature over multiple

grant awards. Project directors who have had their projects funded

previously are discouraged from resubmitting relatively identical

proposals for further funding. Proposals that are sequential

continuations or new stages of previously funded Challenge Grants

Program projects must compete with first-time proposals. Therefore,

project directors should thoroughly demonstrate how the project

proposed in the current application expands substantially upon a

previously funded project (i.e., demonstrate how the new project will

advance the former project to the next level of attainment or will

achieve expanded goals). The proposal must also show the degree to

which the new phase promotes innovativeness and creativity beyond the

scope of the previously funded project.

(e) Narrative of a proposal. The narrative portion of the proposal

is limited to 20 pages in length. The one-page Project Summary is not

included in the 20-page limitation. The narrative must be typed on one

side of the page only, using a font no smaller than 12 point, and

double-spaced. All margins must be at least one inch. All pages

following the Table of Contents must be paginated. It should be noted

that peer reviewers will not be required to read beyond 20 pages of the

narrative to evaluate the proposal. The narrative should contain the

following sections:

(1) Potential for advancing the quality of education.--(i) Impact.

(A) Identify the targeted need area(s).

(B) Clearly state the specific instructional problem or opportunity

to be addressed.

(C) Describe how and by whom the focus and scope of the project

were determined. Summarize the body of knowledge which substantiates

the need for the proposed project.

(D) Describe ongoing or recently completed significant activities

related to the proposed project for which previous funding was received

under this program.

(E) Discuss how the project will be of value at the State,

regional, national, or international level(s).

(F) Discuss how the benefits to be derived from the project will

transcend the applicant institution or the grant period. Also discuss

the probabilities of the project being adapted by other institutions.

For example, can the project serve as a model for others?

(ii) Continuation plans. Discuss the likelihood of, or plans for,

continuation or expansion of the project beyond USDA support. For

example, does the institution's long-range budget or academic plan

provide for the realistic continuation or expansion of the initiative

undertaken by this project after the end of the grant period, are plans

for eventual self-support built into the project, are plans being made

to institutionalize the program if it meets with success, and are there

indications of other continuing non-Federal support?

(iii) Innovation. Describe the degree to which the proposal

reflects an innovative or non-traditional approach to solving a higher

education problem or strengthening the quality of higher education in

the food and agricultural sciences.

(iv) Products and results. Explain the expected products and

results and their potential impact on strengthening food and

agricultural sciences higher education in the United States.

(2) Overall approach and cooperative linkages.--(i) Proposed

approach.(A) Objectives. Cite and discuss the specific objectives to be

accomplished under the project.

(B) Plan of operation. (1) Describe procedures for accomplishing

the objectives of the project.

(2) Describe plans for management of the project to ensure its

proper and efficient administration.

(3) Describe the way in which resources and personnel will be used

to conduct the project.

(C) Timetable. Provide a timetable for conducting the project.

Identify all important project milestones and dates as they relate to

project start-up, execution, evaluation, dissemination, and close-out.

(ii) Evaluation plans. (A) Provide a plan for evaluating the

accomplishment of stated objectives during the conduct of the project.

Indicate the criteria, and corresponding weight of each, to be used in

the evaluation process, describe any data to be collected and analyzed,

and explain the methodology that will be used to determine the extent

to which the needs underlying the project are met.

(B) Provide a plan for evaluating the effectiveness of the end

results upon conclusion of the project. Include the same kinds of

information requested in Sec. 3405.11(e)(2)(ii)(A).

(iii) Dissemination plans. Discuss plans to disseminate project

results and products. Identify target audiences and explain methods of

communication.

(iv) Partnerships and collaborative efforts. (A) Explain how the

project will maximize partnership ventures and collaborative efforts to

strengthen food and agricultural sciences higher education (e.g.,

involvement of faculty in related disciplines at the same institution,

joint projects with other colleges or universities, or cooperative

activities with business or industry). Also explain how it will

stimulate academia, the States, or the private sector to join with the

Federal partner in enhancing food and agricultural sciences higher

education.

(B) Provide evidence, via letters from the parties involved, that

arrangements necessary for collaborative partnerships or joint

initiatives have been discussed and realistically can be expected to

come to fruition, or actually have been finalized contingent on an

award under this program. Letters must be signed by an official who has

the authority to commit the resources of the organization. Such letters

should be referenced in the plan of operation, but the actual letters

should be included in the Appendix section of the proposal. Any

potential conflict(s) of interest that might result from the proposed

collaborative arrangements must be discussed in detail.

(3) Institutional commitment and resources.--(i) Institutional

commitment. Discuss the institution's commitment to the project. For

example, substantiate that the institution attributes a high priority

to the project, discuss how the project will contribute to the

achievement of the institution's long-term (five-to ten-year) goals,

explain how the project will help satisfy the institution's high-

priority objectives, or show how this project is linked to and

supported by the institution's strategic plan.

[[Page 39323]]

(ii) Institutional resources. Document the commitment of

institutional resources to the project, and show that the institutional

resources to be made available to the project, when combined with the

support requested from USDA, will be adequate to carry out the

activities of the project. Discuss institutional facilities, equipment,

computer services, and other appropriate resources available to the

project.

(f) Key personnel. A Form CSREES-708, ``Summary Vita--Teaching

Proposal,'' should be included for each key person associated with the

project.

(g) Budget and cost-effectiveness.--(1) Budget form. (i) Prepare

Form CSREES-713, ``Higher Education Budget,'' in accordance with

instructions provided with the form. Proposals may request support for

a period to be identified in each year's program announcement. A budget

form is required for each year of requested support. In addition, a

summary budget is required detailing the requested total support for

the overall project period. Form CSREES-713 may be reproduced as needed

by proposers. Funds may be requested under any of the categories listed

on the form, provided that the item or service for which support is

requested is allowable under the authorizing legislation, the

applicable Federal cost principles, and these administrative

provisions, and can be justified as necessary for the successful

conduct of the proposed project.

(ii) The approved negotiated instruction rate or the rate allowed

by law should be used when computing indirect costs. If a reduced rate

of indirect costs is voluntarily requested from USDA, the remaining

allowable indirect costs may be used as matching funds.

(2) Matching funds. When documenting matching contributions, use

the following guidelines:

(i) When preparing the column of Form CSREES-713 entitled

``Applicant Contributions To Matching Funds,'' only those costs to be

contributed by the applicant for the purposes of matching should be

shown. The total amount of this column should be indicated in item M.

(ii) In item N of Form CSREES-713, show a total dollar amount for

Cash Contributions from both the applicant and any third parties; also

show a total dollar amount (based on current fair market value) for

Non-cash Contributions from both the applicant and any third parties.

(iii) To be counted toward the matching requirements stated in

Sec. 3405.5 of this part, proposals must include written verification

of any actual commitments of matching support (including both cash and

non-cash contributions) from third parties. Written verification

means--

(A) For any third party cash contributions, a separate pledge

agreement for each donation, signed by the authorized organizational

representative(s) of the donor organization and the applicant

institution, which must include:

(1) The name, address, and telephone number of the donor;

(2) The name of the applicant institution;

(3) The title of the project for which the donation is made;

(4) The dollar amount of the cash donation; and

(5) A statement that the donor will pay the cash contribution

during the grant period; and

(B) For any third party non-cash contributions, a separate pledge

agreement for each contribution, signed by the authorized

organizational representative(s) of the donor organization and the

applicant institution, which must include:

(1) The name, address, and telephone number of the donor;

(2) The name of the applicant institution;

(3) The title of the project for which the donation is made;

(4) A good faith estimate of the current fair market value of the

non-cash contribution; and

(5) A statement that the donor will make the contribution during

the grant period.

(iv) All pledge agreements referenced in Sec. 3405.11(g)(2)(iii)

(A) and (B) must be placed in the proposal immediately following Form

CSREES-713. The sources and amounts of all matching support from

outside the applicant institution should be summarized in the Budget

Narrative section of the proposal.

(v) Applicants should refer to OMB Circulars A-110, ``Uniform

Administrative Requirements for Grants and Agreements With Institutions

of Higher Education, Hospitals and Other Non-profit Organizations,''

and A-21, ``Cost Principles for Educational Institutions,'' for further

guidance and other requirements relating to matching and allowable

costs.

(3) Chart on shared budget for joint project proposal. For a joint

project proposal, a plan must be provided indicating how funds will be

distributed to the participating institutions. The budget section of a

joint project proposal should include a chart indicating: The names of

the participating institutions; the amount of funds to be disbursed to

those institutions; and the way in which such funds will be used in

accordance with items A through L of Form CSREES-713, ``Higher

Education Budget.'' If a proposal is not for a joint project, such a

chart is not required.

(4) Budget narrative. (i) Discuss how the budget specifically

supports the proposed project activities. Explain how such budget items

as professional or technical staff, travel, equipment, etc., are

essential to achieving project objectives.

(ii) Justify that the total budget, including funds requested from

USDA and any matching support provided, will be adequate to carry out

the activities of the project. Provide a summary of sources and amounts

of all third party matching support.

(iii) Justify the project's cost-effectiveness. Show how the

project maximizes the use of limited resources, optimizes educational

value for the dollar, achieves economies of scale, or leverages

additional funds. For example, discuss how the project has the

potential to generate a critical mass of expertise and activity focused

on a targeted need area, or to promote coalition building that could

lead to future ventures.

(iv) Include the percentage of time key personnel will work on the

project, both during the academic year and summer. When salaries of

university personnel will be paid by a combination of USDA and

institutional funds, the total compensation must not exceed the faculty

member's regular annual compensation. In addition, the total commitment

of time devoted to the project, when combined with time for teaching

and research duties, other sponsored agreements, and other employment

obligations to the institution, must not exceed 100 percent of the

normal workload for which the employee is compensated, in accordance

with established university policies and applicable Federal cost

principles.

(v) If the proposal addresses more than one targeted need area

(e.g., student experiential learning and instruction delivery systems),

estimate the proportion of the funds requested from USDA that will

support each respective targeted need area.

(h) Current and pending support. Each applicant must complete Form

CSREES-663, ``Current and Pending Support,'' identifying any other

current public- or private-sponsored projects, in addition to the

proposed project, to which key personnel listed in the proposal under

consideration have

[[Page 39324]]

committed portions of their time, whether or not salary support for the

person(s) involved is included in the budgets of the various projects.

This information should also be provided for any pending proposals

which are currently being considered by, or which will be submitted in

the near future to other possible sponsors, including other USDA

programs or agencies. Concurrent submission of identical or similar

projects to other possible sponsors will not prejudice the review or

evaluation of a project under this program.

(i) Appendix. Each project narrative is expected to be complete in

itself and to meet the 20-page limitation. Inclusion of material in an

Appendix should not be used to circumvent the 20-page limitation of the

proposal narrative. However, in those instances where inclusion of

supplemental information is necessary to guarantee the peer review

panel's complete understanding of a proposal or to illustrate the

integrity of the design or a main thesis of the proposal, such

information may be included in an Appendix. Examples of supplemental

material are photographs, journal reprints, brochures and other

pertinent materials which are deemed to be illustrative of major points

in the narrative but unsuitable for inclusion in the proposal narrative

itself. Information on previously submitted proposals may also be

presented in the Appendix (refer to Sec. 3405.11(d)). When possible,

information in the Appendix should be presented in tabular format. A

complete set of the Appendix material must be attached to each copy of

the grant application submitted. The Appendix must be identified with

the title of the project as it appears on Form CSREES-712 of the

proposal and the name(s) of the project director(s). The Appendix must

be referenced in the proposal narrative.

Subpart D--Submission of a Proposal

Sec. 3405.12 Intent to submit a proposal.

To assist CSREES in preparing for the review of proposals,

institutions planning to submit proposals may be requested to complete

Form CSREES-711, ``Intent to Submit a Proposal,'' provided in the

application package. CSREES will determine each year if Intent to

Submit a Proposal forms will be requested and provide such information

in the program announcement. If Intent to Submit a Proposal forms are

required, one form should be completed and returned for each proposal

an institution anticipates submitting. Submitting this form does not

commit an institution to any course of action, nor does failure to send

this form prohibit an institution from submitting a proposal.

Sec. 3405.13 When and where to submit a proposal.

The program announcement will provide the deadline date for

submitting a proposal, the number of copies of each proposal that must

be submitted, and the address to which proposals must be submitted.

Subpart E--Proposal Review and Evaluation

Sec. 3405.14 Proposal review.

The proposal evaluation process includes both internal staff review

and merit evaluation by peer review panels comprised of scientists,

educators, business representatives, and Government officials. Peer

review panels will be selected and structured to provide optimum

expertise and objective judgment in the evaluation of proposals.

Sec. 3405.15 Evaluation criteria.

The maximum score a proposal can receive is 200 points. Unless

otherwise stated in the annual solicitation published in the Federal

Register, the peer review panel will consider the following criteria

and weights to evaluate proposals submitted:

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

Evaluation Criterion Weight

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

(a) Potential for advancing the quality of

education:

This criterion is used to assess the

likelihood that the project will have a

substantial impact upon and advance the

quality of food and agricultural sciences

higher education by strengthening

institutional capacities through promoting

education reform to meet clearly

delineated needs.

(1) Impact--Does the project address a 20 points.

targeted need area(s)? Is the problem

or opportunity clearly documented?

Does the project address a State,

regional, national, or international

problem or opportunity? Will the

benefits to be derived from the

project transcend the applicant

institution and/or the grant period?

Is it probable that other institutions

will adapt this project for their own

use? Can the project serve as a model

for others?

(2) Continuation plans--Are there plans 10 points.

for continuation or expansion of the

project beyond USDA support? Are there

indications of external, non-Federal

support? Are there realistic plans for

making the project self-supporting?

(3) Innovation--Are significant aspects 20 points.

of the project based on an innovative

or a non-traditional approach toward

solving a higher education problem or

strengthening the quality of higher

education in the food and agricultural

sciences? If successful, is the

project likely to lead to education

reform?

(4) Products and results--Are the 20 points.

expected products and results of the

project clearly explained? Do they

have the potential to strengthen food

and agricultural sciences higher

education? Are the products likely to

be of high quality? Will the project

contribute to a better understanding

of or improvement in the quality,

distribution, effectiveness, or

racial, ethnic, or gender diversity of

the Nation's food and agricultural

scientific and professional expertise

base?

(b) Overall approach and cooperative linkages:

This criterion relates to the soundness of

the proposed approach and the quality of

the partnerships likely to evolve as a

result of the project.

(1) Proposed approach--Do the 20 points.

objectives and plan of operation

appear to be sound and appropriate

relative to the targeted need area(s)

and the impact anticipated? Are the

procedures managerially,

educationally, and/or scientifically

sound? Is the overall plan integrated

with or does it expand upon other

major efforts to improve the quality

of food and agricultural sciences

higher education? Does the timetable

appear to be readily achievable?

(2) Evaluation--Are the evaluation 10 points.

plans adequate and reasonable? Do they

allow for continuous and/or frequent

feedback during the life of the

project? Are the individuals involved

in project evaluation skilled in

evaluation strategies and procedures?

Can they provide an objective

evaluation? Do evaluation plans

facilitate the measurement of project

progress and outcomes?

(3) Dissemination--Does the proposed 10 points.

project include clearly outlined and

realistic mechanisms that will lead to

widespread dissemination of project

results, including national electronic

communication systems, publications,

presentations at professional

conferences, and/or use by faculty

development or research/teaching

skills workshops

[[Page 39325]]

(4) Partnerships and collaborative 20 points.

efforts--Will the project expand

partnership ventures among disciplines

at a university, between colleges and

universities, or with the private

sector? Will the project lead to long-

term relationships or cooperative

partnerships that are likely to

enhance program quality or supplement

resources available to food and

agricultural sciences higher

education?

(c) Institutional commitment and resources:

This criterion relates to the institution's

commitment to the project and the adequacy

of institutional resources available to

carry out the project.

(1) Institutional commitment--Is there 10 points.

evidence to substantiate that the

institution attributes a high-priority

to the project, that the project is

linked to the achievement of the

institution's long-term goals, that it

will help satisfy the institution's

high-priority objectives, or that the

project is supported by the

institution's strategic plans?

(2) Institutional resources--Will the 10 points.

project have adequate support to carry

out the proposed activities? Will the

project have reasonable access to

needed resources such as instructional

instrumentation, facilities, computer

services, library and other

instruction support resources?

(d) Key personnel: 20 points.

This criterion relates to the number and

qualifications of the key persons who will

carry out the project. Are designated

project personnel qualified to carry out a

successful project? Are there sufficient

numbers of personnel associated with the

project to achieve the stated objectives

and the anticipated outcomes?

(e) Budget and cost-effectiveness:

This criterion relates to the extent to

which the total budget adequately supports

the project and is cost-effective.

(1) Budget--Is the budget request 10 points.

justifiable? Are costs reasonable and

necessary? Will the total budget be

adequate to carry out project

activities? Are the source(s) and

amount(s) of non-Federal matching

support clearly identified and

appropriately documented? For a joint

project proposal, is the shared budget

explained clearly and in sufficient

detail?

(2) Cost-effectiveness--Is the proposed 10 points.

project cost-effective? Does it

demonstrate a creative use of limited

resources, maximize educational value

per dollar of USDA support, achieve

economies of scale, leverage

additional funds or have the potential

to do so, focus expertise and activity

on a targeted need area, or promote

coalition building for current or

future ventures?

(f) Overall quality of proposal: 10 points.

This criterion relates to the degree to

which the proposal complies with the

application guidelines and is of high

quality. Is the proposal enhanced by its

adherence to instructions (table of

contents, organization, pagination, margin

and font size, the 20-page limitation,

appendices, etc.); accuracy of forms;

clarity of budget narrative; well prepared

vitae for all key personnel associated

with the project; and presentation (are

ideas effectively presented, clearly

articulated, and thoroughly explained,

etc.)?

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

Subpart F--Supplementary Information

Sec. 3405.16 Access to peer review information.

After final decisions have been announced, CSREES will, upon

request, inform the project director of the reasons for its decision on

a proposal. Verbatim copies of summary reviews, not including the

identity of the peer reviewers, will be made available to respective

project directors upon specific request.

Sec. 3405.17 Grant awards.

(a) General. Within the limit of funds available for such purpose,

the authorized departmental officer shall make project grants to those

responsible, eligible applicants whose proposals are judged most

meritorious in the announced targeted need areas under the evaluation

criteria and procedures set forth in this part. The beginning of the

project period shall be no later than September 30 of the Federal

fiscal year in which the project is approved for support. All funds

granted under this part shall be expended solely for the purpose for

which the funds are granted in accordance with the approved application

and budget, the regulations of this part, the terms and conditions of

the award, the applicable Federal cost principles, and the Department's

Uniform Administrative Requirements for Grants and Agreements With

Institutions of Higher Education, Hospitals, and Other Non-Profit

Organizations (7 CFR part 3019).

(b) Organizational management information. Specific management

information relating to a proposing institution shall be submitted on a

one-time basis prior to the award of a project grant identified under

this part if such information has not been provided previously under

this or another program for which the sponsoring agency is responsible.

Copies of the forms used to fulfill this requirement will be sent to

the proposing institution by the sponsoring agency as part of the pre-

award process.

(c) Notice of grant award. The grant award document shall include

at a minimum the following:

(1) Legal name and address of performing organization.

(2) Title of project.

(3) Name(s) and address(es) of project director(s).

(4) Identifying grant number assigned by the Department.

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

to support the effort without requiring reapplication for funds.

(6) Total amount of Federal financial assistance approved during

the project period.

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

(8) Approved budget plan for categorizing allocable project funds

to accomplish the stated purpose of the grant award.

(9) Other information or provisions deemed necessary by the

Department to carry out its granting activities or to accomplish the

purpose of this particular project grant.

(d) Obligation of the Federal Government. Neither the approval of

any application nor the award of any project grant shall legally commit

or obligate CSREES or the United States to provide further support of a

project or any portion thereof.

Sec. 3405.18 Use of funds; changes.

(a) Delegation of fiscal responsibility. The grantee may not in

whole or in part delegate or transfer to another person, institution,

or organization the responsibility for use or expenditure of grant

funds.

(b) Change in project plans. (1) The permissible changes by the

grantee, project director(s), or other key project personnel in the

approved project grant shall be limited to changes in methodology,

techniques, or other aspects of the project to expedite

[[Page 39326]]

achievement of the project's approved goals. If the grantee or the

project director(s) are uncertain as to whether a change complies with

this provision, the question must be referred to the Department for a

final determination.

(2) Changes in approved goals, or objectives, shall be requested by

the grantee and approved in writing by the authorized departmental

officer prior to effecting such changes. In no event shall requests for

such changes be approved that are outside the scope of the approved

project.

(3) Changes in approved project leadership or the replacement or

reassignment of other key project personnel shall be requested by the

grantee and approved in writing by the authorized departmental officer

prior to effecting such changes.

(4) Transfers of actual performance of the substantive programmatic

work in whole or in part and provisions for payment of funds, whether

or not Federal funds are involved, shall be requested by the grantee

and approved in writing by the authorized departmental officer prior to

effecting such transfers.

(c) Changes in project period. The project period may be extended

by the authorized departmental officer without additional financial

support for such additional period(s) as the authorized departmental

officer determines may be necessary to complete or fulfill the purposes

of an approved project. However, due to statutory restriction, no grant

may be extended beyond five years from the original start date of the

grant, or pre-award date, if applicable. Grant extensions shall be

conditioned upon prior request by the grantee and approval in writing

by the authorized departmental officer, unless prescribed otherwise in

the terms and conditions of a grant.

(d) Changes in approved budget. Changes in an approved budget shall

be requested by the grantee and approved in writing by the authorized

departmental officer prior to instituting such changes if the revision

will:

(1) Involve transfers of amounts budgeted for indirect costs to

absorb an increase in direct costs;

(2) Involve transfers of amounts budgeted for direct costs to

accommodate changes in indirect cost rates negotiated during a budget

period and not approved when a grant was awarded; or

(3) Involve transfers or expenditures of amounts requiring prior

approval as set forth in the applicable Federal cost principles,

Departmental regulations, or in the grant award.

Sec. 3405.19 Monitoring progress of funded projects.

(a) During the tenure of a grant, project directors must attend at

least one national project directors meeting, if offered, in

Washington, DC or any other announced location. The purpose of the

meeting will be to discuss project and grant management opportunities

for collaborative efforts, future directions for education reform, and

opportunities to enhance dissemination of exemplary end products/

results.

(b) An Annual Performance Report must be submitted to the USDA

program contact person within 90 days after the completion of the first

year of the project and annually thereafter during the life of the

grant. Generally, the Annual Performance Reports should include a

summary of the overall progress toward project objectives, current

problems or unusual developments, the next year's activities, and any

other information that is pertinent to the ongoing project or which may

be specified in the terms and conditions of the award.

(c) A Final Performance Report must be submitted to the USDA

program contact person within 90 days after the expiration date of the

project. The expiration date is specified in the award documents and

modifications thereto, if any. Generally, the Final Performance Report

should be a summary of the completed project, including: A review of

project objectives and accomplishments; a description of any products

and outcomes resulting from the project; activities undertaken to

disseminate products and outcomes; partnerships and collaborative

ventures that resulted from the project; future initiatives that are

planned as a result of the project; the impact of the project on the

project director(s), the institution, and the food and agricultural

sciences higher education system; and data on project personnel and

beneficiaries. The Final Performance Report should be accompanied by

samples or copies of any products or publications resulting from or

developed by the project. The Final Performance Report must also

contain any other information which may be specified in the terms and

conditions of the award.

Sec. 3405.20 Other Federal statutes and regulations that apply.

Several other Federal statutes and regulations apply to grant

proposals considered for review and to project grants awarded under

this part. These include but are not limited to:

7 CFR Part 1, Subpart A--USDA implementation of Freedom of

Information Act.

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

regarding debt collection.

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

Civil Rights Act of 1964, as amended.

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

implementing OMB directives (i.e., Circular Nos. A-21 and A-122) and

incorporating provisions of 31 U.S.C. 6301-6308 (formerly the

Federal Grant and Cooperative Agreement Act of 1977, Pub. L. 95-

224), as well as general policy requirements applicable to

recipients of Departmental financial assistance.

7 CFR Part 3017, as amended--Governmentwide Debarment and

Suspension (Nonprocurement); Governmentwide Requirements for Drug-

Free Workplace (Grants), implementing Executive Order 12549 on

debarment and suspension and the Drug-Free Workplace Act of 1988 (41

U.S.C. 701).

7 CFR Part 3018--Restrictions on Lobbying, prohibiting the use

of appropriated funds to influence Congress or a Federal agency in

connection with the making of any Federal grant and other Federal

contracting and financial transactions.

7 CFR Part 3019--USDA implementation of OMB Circular A-110,

Uniform Administrative Requirements for Grants and Agreements With

Institutions of Higher Education, Hospitals, and Other Nonprofit

Organizations.

7 CFR Part 3051--USDA implementation of OMB Circular No. A-133

regarding audits of institutions of higher education and other

nonprofit institutions.

29 U.S.C. 794, section 504--Rehabilitation Act of 1973, and 7

CFR part 15B (USDA implementation of statute), prohibiting

discrimination based upon physical or mental handicap in Federally

assisted programs.

35 U.S.C. 200 et seq.--Bayh-Dole Act, controlling allocation of

rights to inventions made by employees of small business firms and

domestic nonprofit organizations, including universities, in

Federally assisted programs (implementing regulations are contained

in 37 CFR part 401).

Sec. 3405.21 Confidential aspects of proposals and awards.

When a proposal results in a grant, it becomes a part of the record

of the Agency's transactions, available to the public upon specific

request. Information that the Secretary determines to be of a

privileged nature will be held in confidence to the extent permitted by

law. Therefore, any information that the applicant wishes to have

considered as privileged should be clearly marked as such and sent in a

separate statement, two copies of which should accompany the proposal.

The original copy of a proposal that does not result in a grant will be

retained by the Agency for a period of one year. Other copies will be

destroyed. Such a proposal will be released only with the consent of

the applicant or to the extent

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required by law. A proposal may be withdrawn at any time prior to the

final action thereon.

Sec. 3405.22 Evaluation of program.

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

program evaluation activities, carry out in-depth evaluations of

assisted activities. Thus, grantees should be prepared to cooperate

with CSREES personnel, or persons retained by CSREES, evaluating the

institutional context and the impact of any supported project. Grantees

may be asked to provide general information on any students and faculty

supported, in whole or in part, by a grant awarded under this program;

information that may be requested includes, but is not limited to,

standardized academic achievement test scores, grade point average,

academic standing, career patterns, age, race/ethnicity, gender,

citizenship, and disability.

Done at Washington, DC, this 10th day of July 1997.

B.H. Robinson,

Administrator, Cooperative State Research, Education, and Extension

Service.

[FR Doc. 97-19027 Filed 7-21-97; 8:45 am]

BILLING CODE 3410-22-P