Cooperative State Research, Education, and Extension Service

DEPARTMENT OF AGRICULTURE

Cooperative State Research, Education, and Extension Service

Request for Proposals (RFP): Fund for Rural America Program.

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

USDA.

ACTION: Announcement of availability of grant funds and request for

proposals for The Fund for Rural America--Rural Information

Infrastructure Program.

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SUMMARY: The Federal Agriculture Improvement and Reform Act of 1996

established an account in the Treasury of the United States to provide

funds for rural development programs and a competitive grant program to

support research, education, and extension activities.

This notice pertains only to the competitive grant program for

research, education, and extension telecommunications activities. It

identifies eligible participants in the program, the program areas to

be supported, and the funding levels for each area; provides

instructions for preparing and submitting proposals; and describes the

selection process and evaluation criteria to be used to make funding

decisions. To obtain program application materials, please contact the

Proposal Services Unit, Grants Management Branch; Office of Extramural

Programs; Cooperative State Research, Education, and Extension Service;

U.S. Department of Agriculture; STOP 2245; 1400 Independence Avenue,

S.W.; Washington, D.C. 20250-2245; Telephone: (202) 401-5048. When

calling the Proposal Services Unit, please indicate that you are

requesting materials for The Fund for Rural America--Rural Information

Infrastructure Program. These materials may also be requested via

Internet by sending a message with your name, mailing address (not e-

mail) and phone number to [email protected] which states that you want a

copy of the application materials for the Fiscal Year 1997 Fund for

Rural America--Rural Information Infrastructure Program. The materials

will then be mailed to you (not e-mailed) as quickly as possible.

DATES: Project grant applications must be received on or before

September 29, 1997. Proposals received after September 29, 1997, will

not be considered for funding.

FOR FURTHER INFORMATION CONTACT: Cathy Bridwell, Cooperative State

Research, Education, and Extension Service, U.S. Department of

Agriculture, STOP 2207, 1400 Independence Avenue, SW., Washington, DC

20250-2207; telephone (202) 720-6084.

Table of Contents

Part I. General Information

A. Legislative Authority

B. General Definitions

C. Eligibility

D. Available Funds and Award Limitations

Part II. Program Description

A. Purpose of the Program

B. Scope of Program

C. Proposal Narrative

Part III. Preparation of a Proposal

A. Program Application Materials

B. Content of a Proposal

Part IV. Submission of a Proposal

A. What to Submit

B. Where and When to Submit

C. Acknowledgment of Proposals

Part V. Selection Process and Evaluation Criteria

A. Selection Process

B. Technical Evaluation Criteria

C. Programmatic Relevance Review

Part VI. Supplementary Information:

A. Access to Peer Review Information

B. Grant Awards

C. Use of Funds; Changes

D. Other Federal Statutes and Regulations That Apply

E. Confidential Aspects of Proposals and Awards

Part I. General Information

A. Legislative Authority

The Fund for Rural America (The Fund), authorized under section 793

of the Federal Agriculture Improvement and Reform Act of 1996 (FAIR

Act) (7 U.S.C. 2204(f)), provides $100 million annually for the next

three years. One-third of the fund is available for research,

education, and extension grants. These grants will be awarded on a

competitive basis and are not targeted to specific priorities. One-

third of the fund is available for rural development and must be

administered through existing rural development programs. One-third of

the fund is available either for research, education, and extension or

rural development, or both at the Secretary's discretion. Note that the

Emergency Supplemental Appropriations Act, Pub. L. No. 105-18,

rescinded $20 million of The Fund in Fiscal Year 1997. As a result of

this rescission, research and rural development will each sustain a

reduction of $10 million. The $10 million reduction of the research

component of The Fund will be applied proportionately across all areas

of the component.

On January 29, 1997, the program solicited proposals for two

initiatives: The Fund Core Initiative and The Secretary's Initiative.

The Fund Core Initiative was funded from the one-third of the fund

dedicated to research, education, and extension. The Secretary's

Initiative was funded from the one-third of the fund to be used at the

Secretary's discretion. While the Fund for Rural America--Rural

Information Infrastructure Program also is being funded from the

discretionary funds, it is separate from the solicitation of January

29, 1997.

This portion of the discretionary monies will be used for

telecommunications research to provide the same economic opportunity

for those living in small towns and rural areas as for those living in

cities. To help achieve this goal, approximately $2.1 million in

competitive grants will be awarded through this separate request for

proposals (RFP). If an applicant submitted a proposal to The Fund under

the January 29, 1997, RFP which relates to telecommunications research,

they also may submit the proposal under this RFP so long as the

proposal conforms to the guidelines contained in this RFP.

These funds are to be competitively awarded as grants on the basis

of merit, quality, and relevance to advancing the purposes of federally

supported agricultural research, extension, and education provided in

Section 1402 of the National Agricultural Research, Extension, and

Teaching Policy Act of 1977, as amended (7 U.S.C. 3101). Section 1402

identifies the following purposes:

``(1) Enhance the competitiveness of the United States agriculture

and food industry in an increasingly competitive world environment;

(2) Increase the long-term productivity of the United States

agriculture and food industry while maintaining and enhancing the

natural resource base on which rural America and the United States

agricultural economy depend;

(3) Develop new uses and new products for agricultural commodities,

such as alternative fuels, and develop new crops;

(4) Support agricultural research and extension to promote economic

opportunity in rural communities and to meet the increasing demand for

information and technology transfer throughout the United States

agriculture industry;

(5) Improve risk management in the United States agriculture

industry;

(6) Improve the safe production and processing of, and adding of

value to, United States food and fiber resources using methods that

maintain the balance

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between yield and environmental soundness;

(7) Support higher education in agriculture to give the next

generation of Americans the knowledge, technology, and applications

necessary to enhance the competitiveness of United States agriculture;

and

(8) Maintain an adequate, nutritious, and safe supply of food to

meet human nutritional needs and requirements.''

This program has the capability of addressing each of the purposes

through the use of telecommunications; however, the specific purposes

to be addressed is dependent on the funded projects.

Section 793(c)(2)(A) of the FAIR Act authorizes the Secretary to

use The Fund for competitive research, education, and extension grants

to:

``(i) Increase international competitiveness, efficiency, and farm

profitability;

(ii) Reduce economic and health risks;

(iii) Conserve and enhance natural resources;

(iv) Develop new crops, new crop uses, and new agricultural

applications of biotechnology;

(v) Enhance animal agricultural resources;

(vi) Preserve plant and animal germplasm;

(vii) Increase economic opportunities in farming and rural

communities; and

(viii) Expand locally-owned, value-added processing.''

B. General Definitions

For the purpose of awarding grants under this program, the

following definitions are applicable:

(1) Administrator means the Administrator of the Cooperative State

Research, Education, and Extension Service (CSREES) and any other

officer or employee of the Department to whom the authority involved

may be delegated.

(2) Authorized departmental officer means the Secretary or any

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

grant instruments on behalf of the Secretary.

(3) Authorized organizational representative means the president or

chief executive officer of the applicant organization or the official,

designated by the president or chief executive officer of the applicant

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

organization.

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

into which the project period is divided for budgetary and reporting

purposes.

(5) College or university means an educational institution in any

State which admits as regular students only persons having a

certificate of graduation from a school providing secondary education,

or the recognized equivalent of such a certificate, is legally

authorized within such State to provide a program of education beyond

secondary education, provides an educational program for which an

associate's degree, a bachelor's degree or any other higher degree is

awarded, is a public or other nonprofit institution, and is accredited

by a nationally recognized accrediting agency or association.

(6) Communities of interest means interests which bond individuals

together for the purpose of achieving a common goal. Communities of

interest may coalesce around common locations, commodity or production

interests, environmental concerns, economic development opportunities,

or other shared commitments.

(7) Core initiative means the programs encompassing the one-third

of The Fund designated for research, education, and extension

activities.

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

Agriculture.

(9) End users means the intended audience or beneficiary of the

program or project.

(10) Grant means the award by the Secretary of funds to a Federal

research agency, a national laboratory, a college or university or a

research foundation maintained by a college or university, or a private

research organization to assist in meeting the costs of conducting, for

the benefit of the public, an identified project which is intended and

designed to accomplish the purpose of the program as identified in

these guidelines.

(11) Grantee means the organization designated in the grant award

document as the responsible legal entity to which a grant is awarded.

(12) The National Information Infrastructure (NII) includes, but is

not limited to, the physical facilities used to transmit, store,

process, and display voice, data, and images, as well as a wide range

and ever-expanding range of equipment including cameras, scanners,

keyboards, telephones, fax machines, computers, switches, compact

disks, video and audio tape, cable, wire, satellites, optical fiber

transmission lines, microwave nets, switches, televisions, monitors,

and printers.

(13) Partners are defined as all those who will collaborate on and

have a substantial role and interest in the project.

(14) Peer review panel means a group of experts qualified by

training and experience in particular fields to give expert advice on

the merit of grant applications in such fields, who evaluate eligible

proposals submitted to this program in their personal area(s) of

expertise.

(15) Prior approval means written approval evidencing prior consent

by an authorized departmental officer as defined in (2) above.

(16) Private research organization means any non-governmental

corporation, partnership, proprietorship, trust, or other organization

with an established and demonstrated capacity to perform research or

technology transfer which (1) conducts any systematic study directed

toward new or fuller knowledge and understanding of the subject

studied, or (2) systematically relates or applies the findings of

research or scientific experimentation to the application of new

approaches to problem solving, technologies, or management practices;

and (3) has facilities, qualified personnel, independent funding, and

prior projects and accomplishments in research or technology transfer.

(17) Project means the particular activity within the scope of the

program supported by a grant award.

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

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

responsible for the direction and management of the project.

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

document and modifications thereto, if any, during which Federal

sponsorship begins and ends.

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

officer or employee of the Department to whom the authority involved

may be delegated.

(21) Secretary's initiative means the programs encompassing the

one-third of The Fund for rural development and/or research, education,

and extension activities according to the Secretary's discretion.

(22) Smaller institution means a college or university or a

research foundation maintained by a college or university that ranks in

the lower one-third of such institutions on the basis of Federal

research funds received (excepting monies received under the Fund).

(23) Stakeholder means those who have a substantial interest in the

project, but are not the intended audience of the program or project.

(24) The Fund means the Fund for Rural America.

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C. Eligibility

Proposals may be submitted by Federal research agencies, national

laboratories, colleges or universities or research foundations

maintained by a college or university, or private research

organizations. National laboratories include Federal laboratories that

are government-owned contractor-operated or government-owned

government-operated. If the applicant is a private organization,

documentation must be submitted establishing that the private

organization has an established and demonstrated capacity to perform

research or technology transfer. A programmatic decision on the

eligibility status of the private organization will be made based on

the information submitted.

D. Available Funds and Award Limitations

Under this program, subject to the availability of funds, the

Secretary may award competitive grants, for periods not to exceed five

years, for the support of research, education, and extension projects

to further the programs of the USDA. The first allocation to The Fund

from the U.S. Treasury is $100,000,000 on January 1, 1997. No less than

one-third of the amount must be used for rural development and

competitively awarded research, education, and extension grants

according to the Secretary's discretion. Funds for the competitive

grants program are available to the Department for award during a two-

year period. Note that the Emergency Supplemental Appropriations Act,

Pub. L. No. 105-18, rescinded $20 million of The Fund in Fiscal Year

1997. As a result of this rescission, research and rural development

will each sustain a reduction of $10 million. The $10 million reduction

of the research component of The Fund will be applied proportionately

across all areas of the component. The Department expects to award

approximately $2.1 million as grants to meritorious eligible applicants

under this request for proposals (RFP).

Not less than 15 percent of the total funds awarded by CSREES under

The Fund for research, education, and extension activities will be used

for grants to colleges, universities, or research foundations

maintained by a college or university that rank in the lowest one-third

of such entities based on Federal research funds received (excepting

monies received under The Fund).

Funds awarded under this RFP may not be used for the construction

of a new building or the acquisition, expansion, remodeling, or

alteration of an existing building.

Part II. Program Description

A. Purpose of the Program

The ability of rural Americans to access and use rural and

agriculturally based information is critical to ensuring equal

opportunity for economic growth. The purpose of the program is to

examine ways to improve delivery of rural economic, community

development and agricultural knowledge to rural communities in order to

provide the same economic opportunity for those living in small towns

and rural areas as for those living in cities.

B. Scope of the Program

Proposals must address which purposes described in Section 1402 of

the National Agricultural Research, Extension, and Teaching Policy Act

of 1977, as amended (7 U.S.C. 3101) will be incorporated in the

application of the proposed telecommunications. In Fiscal Year 1997,

the Fund for Rural America--Rural Information Infrastructure Program

will support projects in three program categories: (1) Rural

Telecommunications Technologies and Systems; (2) Information

Infrastructure; and (3) Human Capacity Building. Applicants must

clearly state to which category they are applying; each proposal will

be rated against other proposals in that category; and applicants may

not submit identical proposals to more than one category.

1. Rural Telecommunications Technologies and Systems

Applicants may submit a proposal in the Rural Telecommunications

Technologies and Systems category to examine the special needs,

limitations, applicability, and use of existing and cutting-edge

telecommunications technologies and systems in rural America. Proposals

in this category must clearly target the telecommunications

infrastructure needs of rural citizens not currently connected to the

National Information Infrastructure (NII) and must substantiate the

choice of technology in relation to the needs of the rural citizens

targeted by the project. Examples might include, but are not limited

to, application of technology to solve the education needs of a

particular community, or implementation of technology systems to link

citizens to information, two-way interactive communications and/or

formal or non-formal educational opportunities.

2. Information Infrastructure

Applicants may submit a proposal in the Information Infrastructure

category to examine ways to build the information infrastructure to

further the education of rural Americans and to improve access to

research and extension tools/sources. Proposals in this category must

clearly target the development of the informative and educational

content of the NII specifically relating to rural and agricultural

research, education and extension. Proposals must seek to enhance the

applicability and usefulness of this content to rural citizens.

Examples include, but are not limited to, development of interactive

non-formal and formal distance education opportunities and the

digitization and organization of subject matter information for rural

citizens.

3. Human Capacity Building

Applicants may submit a proposal to the Human Capacity category to

examine the interaction among people, technology, and knowledge.

Proposals in this category must clearly target the human interface to

technology, as well as to information and formal and non-formal

education made available through telecommunications. Examples include,

but are not limited to, development of new and more user friendly

applications of the information and the technology and programs

designed to remove barriers to adoption and use of technology by

citizens of rural America.

The Fund for Rural America--Rural Information Infrastructure

Program will not fund the following types of projects:

Hardware or Software Development Projects. While some hardware or

software development may be required to implement a project, it may not

be a major emphasis of any project.

Internal Projects. While some internal training and infrastructure

may be required to implement a project, this program will not support

projects whose primary emphasis is on the internal education,

technology, or information needs of an organization.

Replacement or Upgrade of Existing Facilities. This program will

not support any projects whose primary emphasis is the upgrade or

replacement of existing facilities.

Planning Projects. While planning is an appropriate and encouraged

activity as a component of a project, this program will not support

projects whose sole emphasis is on planning.

C. Proposal Narrative

The narrative should contain the following sections set in the

context of

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the category under which funding is requested:

1. Introduction

Include a clear statement of the goal(s) and objective(s) of the

project. The problem should be set within the context of work that has

been previously done in the category applied for, as well as in the

context of the present-day situation. Summarize the body of knowledge

which substantiates the need for the proposed project. Preliminary

information pertinent to the proposed work should also be cited.

2. Rationale and Significance

Substantiate the need for the proposed project. Describe the

impact of the project on the end user. Describe the project's specific

relationship to the purposes of The Fund and to the identified need to

be addressed.

3. Objectives and Approach

Cite and discuss the specific objective(s) to be accomplished

under the project. A detailed description of the approach must include:

Techniques and/or procedures used to carry out the proposed

activities and for accomplishing the objectives

The results expected

Limitations

Time table

4. Evaluation

Provide a plan for assessing and evaluating the accomplishments of

the stated objectives during the conduct of the project and describe

ways to determine the effectiveness of the end results upon conclusion

of the project.

5. Relationship to Partners, Communities of Interest, Stakeholders, and

End Users

Describe how the project will involve partners and communities of

interest. Describe how and by whom the focus and scope of the project

were determined, how partners will be involved during the course of the

project, and how end users will be impacted by results. Evidence must

be provided via letters by the parties involved that arrangements

necessary for collaborative partnerships have been discussed with the

parties involved and can realistically be expected to come to fruition,

or have actually been finalized contingent on an award under this

program. A letter from a university must be signed by the dean or

research director, a representative of the university's central

administration, or a higher university official. A letter from a

business or industry must be signed by an official who has the

authority to commit the resources of the organization. Such letters

should be placed immediately following the Project Narrative in the

proposal.

6. Outreach and Dissemination Plan

Clearly describe how results and information will be disseminated

or transferred to end users, partners, communities of interest, and

stakeholders.

7. Coordination and Management Plan

Describe how the project will be coordinated among the various

participants and clearly describe the nature of the collaborations.

Describe plans for management of the project to ensure its proper and

efficient administration.

Part III. Preparation of a Proposal

A. Program Application Materials

Program application materials will be made available to eligible

entities upon request. These materials include information about the

purpose of the program, how the program will be conducted, and the

required contents of a proposal, as well as the forms needed to prepare

and submit grant applications under the program.

To obtain application materials, please contact the Proposal

Services Unit, Grants Management Branch; Office of Extramural Programs;

Cooperative State Research, Education, and Extension Service; U.S.

Department of Agriculture; STOP 2245; 1400 Independence Avenue, S.W.;

Washington, D.C. 20250-2245; Telephone (202) 401-5048. When calling the

Proposal Services Unit, please indicate that you are requesting forms

for The Fund for Rural America--Rural Information Infrastructure

Program. These materials may also be requested via Internet by sending

a message with your name, mailing address (not e-mail) and phone number

to [email protected] and state that you want a copy of the application

materials for the Fiscal Year 1997 Fund for Rural America--

Telecommunications Program. The materials will then be mailed to you

(not e-mailed) as quickly as possible.

B. Content of a Proposal

A proposal should contain the following:

1. Cover Page

Complete the ``Application for Funding'', Form CSREES-661, in its

entirety.

a. Note that providing a Social Security Number is voluntary, but

the number is an integral part of the CSREES information system and

will assist in the processing of the proposal.

b. One copy of the ``Application for Funding'' form must contain

the pen-and-ink signatures of the project director(s) and authorized

organizational representative for the applicant organization.

c. Note that by signing the ``Application for Funding'' form the

applicant is providing the required certifications set forth in 7 CFR

part 3017, as amended by 61 Federal Register 250, January 4, 1996,

regarding Debarment and Suspension and Drug-Free Workplace, and 7 CFR

part 3018, regarding Lobbying. The certification forms are included in

the application package for informational purposes only. It is not

necessary to submit the forms to USDA.

2. Table of Contents

For ease in locating information, each proposal must contain a

detailed Table of Contents immediately after Form CSREES-661,

``Application for Funding.'' The Table of Contents should include page

numbers for each component of the proposal. Pagination should begin

immediately following the Table of Contents.

3. Project Summary

The proposal must contain a project summary of 250 words or less on

a separate page. This page must include the title of the project and

the names of the primary project director(s) and the applicant

organization, followed by the summary. The summary should be self-

contained, and should describe the overall goals and relevance of the

project. The summary should also contain a listing of all organizations

involved in the project. The Project Summary should immediately follow

the Table of Contents.

4. Application Category

Each proposal must state the category under which funds are

requested (1) Rural Telecommunications Technologies and Systems (2)

Information Infrastructure; or (3) Building Human Capacity.

5. Project Narrative

All proposals are to be submitted on standard 8.5'' x 11'' paper

with typing on one side of the page only. In addition, margins must be

at least one inch, type must be 12 characters per inch (12 pitch or 10

point) or larger, no more than 6 lines per inch, and there should be no

page reductions. If applicable, proposals should include original

illustrations (photographs, color prints, etc.) in all copies of the

proposal

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to prevent loss of meaning through poor quality reproduction. Such

illustrations are not included in the page limitation for project

narratives.

The narrative portion of the proposal is limited to 20 pages of

text and should contain the required information described under

section (c) of Part II. Program Description.

6. Key Personnel

Identify the primary project director and the co-project

director(s) and other key personnel required for this project. Include

vitae that provide adequate information so that proposal reviewers can

make an informed judgment as to their capabilities and experience.

7. Conflict of Interest List

A Conflict of Interest List must be provided for individuals

identified as key personnel. Each list should be on a separate page and

include alphabetically the full names of the individuals in the

following categories: (1) All collaborators on projects within the past

five years, including current and planned collaborations; (2) all co-

authors on publications within the past five years, including pending

publications and submissions; (3) all persons in your field with whom

you have had a consulting or financial arrangement within the past five

years who would stand to gain by seeing the project funded; and (4) all

thesis or postdoctoral advisees/advisors within the past five years.

8. Budget

A. Budget Form: Prepare the budget, Form CSREES-55, in accordance

with instructions provided with the form. A budget form is required for

each year of requested support. In addition, a summary budget is

required detailing the requested total support for the overall project

period. The budget form may be reproduced as needed by applicants.

Funds may be requested under any of the categories listed on the form,

provided that the item or service for which support is requested is

allowable under the authorizing legislation, the applicable Federal

cost principles, and these program guidelines, and can be justified as

necessary for the successful conduct of the proposed project.

The following guidelines should be used in developing your proposal

budget(s):

1. Salaries and Wages. Salaries and wages are allowable charges and

may be requested for personnel who will be working on the project in

proportion to the time such personnel will devote to the project. If

salary funds are requested, the number of Senior and Other Personnel

and the number of CSREES Funded Work Months must be shown in the spaces

provided. Grant funds may not be used to augment the total salary or

rate of salary of project personnel or to reimburse them for time in

addition to a regular full-time salary covering the same general period

of employment.

2. Fringe Benefits. Funds may be requested for fringe benefit costs

if the usual accounting practices of your organization provide that

organizational contributions to employee benefits (social security,

retirement, etc.) be treated as direct costs. Fringe benefit costs may

be included only for those personnel whose salaries are charged as a

direct cost to the project.

3. Nonexpendable Equipment. Nonexpendable equipment means tangible

nonexpendable personal property including exempt property charged

directly to the award having a useful life of more than one year and an

acquisition cost of $5,000 or more per unit. As such, items of

necessary instrumentation or other nonexpendable equipment should be

listed individually by description and estimated cost and justified.

In addition, pursuant to Section 716(b) of Pub. L. No. 104-180 (the

Agriculture, Rural Development, Food and Drug Administration, and

Related Agencies Appropriations Act, 1997), in the case of any

equipment or product that may be authorized to be purchased with funds

provided under this program, entities receiving such funds are

encouraged to use such funds to purchase only American-made equipment

or products.

4. Materials and Supplies. The types of expendable materials and

supplies which are required to carry out the project should be

indicated in general terms with estimated costs.

5. Travel. The type and extent of travel and its relationship to

project objectives should be described briefly and justified. If

foreign travel is proposed, the country to be visited, the specific

purpose of the travel, a brief itinerary, inclusive dates of travel,

and estimated cost must be provided for each trip. Airfare allowances

normally will not exceed round-trip jet economy air accommodations.

U.S. flag carriers must be used when available. See 7 CFR part

3015.205(b)(4) for further guidance.

6. Publication Costs/Page Charges. Anticipated costs of preparing

and publishing results of the research being proposed (including page

charges, necessary illustrations, and the cost of a reasonable number

of coverless reprints) may be estimated and charged against the grant.

7. Computer (ADPE) Costs. Reimbursement for the costs of using

specialized facilities (such as a university- or department-controlled

computer mainframe or data processing center) may be requested if such

services are required for completion of the work.

8. All Other Direct Costs. Anticipated direct project charges not

included in other budget categories must be itemized with estimated

costs and justified on a separate sheet of paper attached to Form

CSREES-55. This also applies to revised budgets, as the item(s) and

dollar amount(s) may change. Examples may include space rental at

remote locations, subcontractual costs, and charges for consulting

services. You are encouraged to consult the ``Instructions for

Completing Form CSREES-55, Budget,'' of the Application Kit for

detailed guidance relating to this budget category.

9. Indirect Costs. If requested, the current rate negotiated with

the cognizant Federal negotiating agency should be used. Indirect costs

may not exceed the negotiated rate. If no rate has been negotiated, a

reasonable dollar amount in lieu of indirect costs may be requested,

which will be subject to approval by CSREES. In the latter case, if a

proposal is recommended for funding, an indirect cost rate proposal

must be submitted to support the amount of indirect costs requested.

CSREES will request an indirect cost rate proposal and provide

instructions, as necessary.

In that grants supported by The Fund may include numerous

activities other than traditional instruction or research, the

institution may choose to request indirect costs rates that are lower

than the institution approved negotiated research or instructional

rate.

Applications from colleges and universities that are not submitted

through an Office of Sponsored Programs (or equivalent thereto) must

provide a statement in the budget narrative verifying that the indirect

costs requested are in accordance with institutional policies.

B. Budget Narrative: All salaries and wages, nonexpendable

equipment, foreign travel, subcontracts, and all other direct costs for

which support is requested must be individually listed (with costs) and

justified on a separate sheet of paper and placed immediately following

the budget.

9. Current and Pending Support

All proposals must contain Form CSREES-663 listing other current

public or private support (including in-house support) to which key

personnel

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identified in the proposal have committed portions of their time,

whether or not salary support for person(s) involved is included in the

budget. Analogous information must be provided for any pending

proposals that are being considered by, or that will be submitted in

the near future to, other possible sponsors, including other USDA

programs or agencies. Concurrent submission of identical or similar

proposals to the possible sponsors will not prejudice proposal review

or evaluation by the Administrator for this purpose. However, a

proposal that duplicates or overlaps substantially with a proposal

already reviewed and funded (or that will be funded) by another

organization or agency will not be funded under this program. NOTE:

This proposal should be identified in the pending section of Form

CSREES-663.

10. Compliance with the National Environmental Policy Act (NEPA)

As outlined in 7 CFR part 3407 (CSREES regulations implementing

NEPA), the environmental data for any proposed project is to be

provided to CSREES so that CSREES may determine whether any further

action is needed. In some cases, however, the preparation of

environmental data may not be required. Certain categories of actions

are excluded from the requirements of NEPA.

In order for CSREES to determine whether any further action is

needed with respect to NEPA, pertinent information regarding the

possible environmental impacts of a particular project is necessary;

therefore, Form CSREES-1234, ``NEPA Exclusions Form,'' must be included

in the proposal indicating whether the applicant is of the opinion that

the project falls within a categorical exclusion and the reasons

therefor. If it is the applicant's opinion that the proposed project

falls within the categorical exclusions, the specific exclusion must be

identified. Form CSREES-1234 and supporting documentation should be

included as the last page of the proposal.

Even though a project may fall within the categorical exclusions,

CSREES may determine that an Environmental Assessment or an

Environmental Impact Statement is necessary for an activity, if

substantial controversy on environmental grounds exists or if other

extraordinary conditions or circumstances are present which may cause

such activity to have a significant environmental effect.

Part IV. Submission of a Proposal

A. What to Submit

An original and 15 copies must be submitted. Each copy of each

proposal must be stapled in the upper left-hand corner. (DO NOT BIND.)

All copies of the proposal must be submitted in one package.

B. Where and When to Submit

Applications must be received by September 29, 1997. Proposals sent

by First Class mail must be sent to the following address: Proposal

Services Unit, Grants Management Branch, Office of Extramural Programs,

Cooperative State Research, Education, and Extension Service, STOP

2245, 1400 Independence Avenue, S.W., Washington, DC 20250-2245,

Telephone: (202) 401-5048

Note: Hand-delivered proposals or those delivered by overnight

express service should be brought to the following address: Proposal

Services Unit, Grants Management Branch; Office of Extramural

Programs; Cooperative State Research, Education, and Extension

Service; U.S. Department of Agriculture; Room 303, Aerospace Center;

901 D Street, S.W.; Washington DC 20024. The telephone number is

(202) 401-5048.

C. Acknowledgment of Proposals

The receipt of all proposals will be acknowledged in writing and

this acknowledgment will contain an identifying proposal number. Once

your proposal has been assigned an identification number, that number

should be cited in future correspondence.

Part V. Selection Process and Evaluation Criteria

A. Selection Process

Each proposal will be evaluated in a two-part process. First, each

proposal will be screened to ensure it meets the requirements as set

forth in this RFP. Proposals that meet these requirements will be

technically evaluated. Each proposal will be judged on its own merits.

B. Technical Evaluation Criteria

The review of applications submitted for funding consideration will

consist of a technical evaluation conducted by CSREES using the

competitive peer review process. Applications will receive a technical

evaluation using the following criteria:

1. Merit

Scientific, technical, or educational merit: Well defined problem;

clearly defined objectives; appropriateness of approach, (including

selection of proper approach to address systems, multifaceted, or

multidisciplinary problems); demonstrated integration of components

(such as research, education and extension components); degree of

feasibility; soundness and effectiveness of management plan.

2. Quality

Creativity and innovativeness in addressing problem and issues;

selection of most appropriate and qualified individuals to address

problem; competence and experience of personnel; effective utilization

of knowledge base in addressing problem; potential to contribute

solutions to stated problem; identified potential for technology

transfer and information dissemination.

3. Relevance

Proposal advances purposes of The Fund for Rural America; potential

to contribute solutions to priority problems in agriculture;

identification and involvement of stakeholders; involvement of

communities of interest and stakeholders in the identification of

problems set forth in proposal; partnership with those affected by the

outcome.

C. Programmatic Relevance Review

The National Agricultural Research, Education and Economics

Advisory Board will review collective groups of recommended proposals

(based on technical evaluation) to ensure the relevance of the work

proposed for funding toward achieving the programmatic goals of The

Fund.

Part VI. Supplementary Information

A. Access to Peer Review Information

After final decisions have been announced, CSREES will, upon

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

a proposal. Copies of summary reviews, not including the identity of

the reviewers, will be made available to respective project directors

upon specific request.

B. Grant Awards

1. General

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

official of CSREES shall make grants to those responsible, eligible

applicants whose proposals are judged most meritorious in the announced

program areas under the evaluation criteria and procedures set forth in

this request for proposals. The date specified by the Administrator as

the effective date of the grant shall be no later than September 30 of

the Federal fiscal year in which the project

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is approved for support and funds are appropriated for such purpose,

unless otherwise permitted by law. It should be noted that the project

need not be initiated on the grant effective date, but as soon

thereafter as practicable so that project goals may be attained within

the funded project period. All funds granted by CSREES under this

request for proposals shall be expended solely for the purpose for

which the funds are granted in accordance with the approved application

and budget, these application guidelines, the terms and conditions of

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

assistance regulations (parts 3015, 3016, and 3019 of 7 CFR).

2. Organizational Management Information

Specific management information relating to an applicant shall be

submitted on a one-time basis prior to the award of a grant identified

under these application guidelines if such information has not been

provided previously under this or another program for which the

sponsoring agency is responsible. Copies of forms recommended for use

in fulfilling the requirements contained in this section will be

provided by the sponsoring agency as part of the preaward process.

3. Grant Award Document and Notice of Grant Award

The grant award document shall include at a minimum the following:

a. Legal name and address of performing organization or institution

to whom the Administrator has awarded a grant under the terms of this

request for proposals;

b. Title of Project;

c. Name(s) and address(es) of project director(s) chosen to direct

and control approved activities;

d. Identifying grant number assigned by the Department;

e. Project period, specifying the amount of time the Department

intends to support the project without requiring recompetition for

funds;

f. Total amount of Departmental financial assistance approved by

the Administrator during the project period;

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

h. Approved budget plan for categorizing allocable project funds to

accomplish the stated purpose of the grant award; and

i. Other information or provisions deemed necessary by CSREES to

carry out its respective granting activities or to accomplish the

purpose of a particular grant.

The notice of grant award, in the form of a letter, will be

prepared and will provide pertinent instructions or information to the

grantee that is not included in the grant award document.

C. Use of Funds; Changes

1. Delegation of Fiscal Responsibility

The grantee may not in whole or in part delegate or transfer to

another person, institution, or organization the responsibility for use

or expenditure of grant funds.

2. Changes in Project Plans

a. The permissible changes by the grantee, project director(s), or

other key project personnel in the approved project grant shall be

limited to changes in methodology, techniques, or other aspects of the

project to expedite achievement of the project's approved goals. If the

grantee and/or the project director(s) are uncertain as to whether a

change complies with this provision, the question must be referred to

the Authorized Departmental Officer (ADO) for a final determination.

b. Changes in approved goals, or objectives, shall be requested by

the grantee and approved in writing by the ADO prior to effecting such

changes. In no event shall requests be approved for changes which are

outside the scope of the original approved project.

c. Changes in approved project leadership or the replacement or

reassignment of other key project personnel shall be requested by the

grantee and approved in writing by the ADO prior to effecting such

changes.

d. Transfers of actual performance of the substantive programmatic

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

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

and approved in writing by the ADO prior to effecting such transfers.

e. Changes in Project Period: The project period may be extended by

CSREES without additional financial support, for such additional

period(s) as the ADO determines may be necessary to complete or fulfill

the purposes of an approved project. Any extension of time shall be

conditioned upon prior request by the grantee and approval in writing

by the ADO, unless prescribed otherwise in the terms and conditions of

a grant.

f. Changes in Approved Budget: Changes in an approved budget must

be requested by the grantee and approved in writing by the ADO prior to

instituting such changes if the revision will:

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

absorb an increase in direct costs;

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

accommodate changes in indirect cost rates negotiated during a budget

period and not approved when a grant was awarded; or

(3) Involve transfers or expenditures of amounts requiring prior

approval as set forth in the applicable Federal cost principles,

Departmental regulations, or in the grant award.

D. Other Federal Statutes and Regulations That Apply

Several other Federal statutes and regulations apply to grant

proposals considered for review and to project grants awarded under

this program. These include but are not limited to:

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

Act.

7 CFR part 1c--USDA implementation of the Federal Policy for the

Protection of Human Subjects.

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

regarding debt collection.

7 CFR part 15, subpart A--USDA implementation of Title VI of the

Civil Rights Act of 1964, as amended.

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

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

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

Grant and Cooperative Agreement Act of 1977, Pub. L. No. 95-224), as

well as general policy requirements applicable to recipients of

Departmental financial assistance.

7 CFR part 3017, as amended by 61 FR 250, January 4, 1996--USDA

implementation of Governmentwide Debarment and Suspension

(Nonprocurement) and Governmentwide Requirements for Drug-Free

Workplace (Grants).

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

Lobbying. Imposes prohibitions and requirements for disclosure and

certification related to lobbying on recipients of Federal contracts,

grants, cooperative agreements, and loans.

7 CFR part 3019--USDA implementation of OMB Circular No. 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

[[Page 41247]]

higher education and other nonprofit institutions.

7 CFR part 3407--CSREES procedures to implement the National

Environmental Policy Act of 1969, as amended.

48 CFR part 31--Contract Cost Principles and Procedures of the

Federal Acquisition Regulation.

29 U.S.C. 794 (section 504, Rehabilitation Act of 1973) and 7 CFR

part 15b (USDA implementation of statute)--prohibiting discrimination

based upon physical or mental handicap in federally assisted programs.

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

rights to inventions made by employees of small business firms and

domestic nonprofit organizations, including universities, in federally

assisted programs (implementing regulations are contained in 37 CFR

part 401).

E. Confidential Aspects of Proposals and Awards

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

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

request. Information that the Secretary determines to be of a

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

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

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

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

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

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

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

the applicant or to the extent required by law. A proposal may be

withdrawn at any time prior to the final action thereon.

Done at Washington, D.C., on this 25th day of July 1997.

Colien Hefferan,

Associate Administrator, Cooperative State Research, Education, and

Extension Service.

[FR Doc. 97-20236 Filed 7-30-97; 8:45 am]

BILLING CODE 3410-22-P