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

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 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; USDA/

CSREES at (202) 401-5048. When calling the Proposal Services Unit,

please indicate that you are requesting forms for the Fund 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 Program. The materials will

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

Planning Grant Applications must be received on or before March 24,

1997. Planning Grant proposals received after March 24, 1997, will not

be considered for funding.

Standard Project Grant Applications must be received on or before

April 28, 1997. Standard project proposals received after April 28,

1997, will not be considered for funding.

FOR FURTHER INFORMATION CONTACT: Dr. Patrick O'Brien, Cooperative State

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

Agriculture, STOP 2240, Washington, D.C. 20250-2240; telephone (202)

401-1761.

Table of Contents

Part I. General Information

A. Legislative Authority

B. General Definitions

C. Eligibility

D. Available Funds and Award Limitations

E. Matching Funds Requirement

Part II. Program Description

A. Purpose of the Program

B. Approach

C. Focus of the Program

D. Funding Mechanisms

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. 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)), is established as an account in the Treasury

of the United States. The Fund will provide $100 million in each of

three years for rural development programs and a competitive grant

program for research, education, and extension activities. Not less

than one-third of the funds will be available for research, education,

and extension activities, one-third will be available for the

Department's rural development programs, and one-third will be

allocated between the rural development and research activities

according to the Secretary's discretion.

Grants are to be awarded 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 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.''

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 and 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

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

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

parties.

(6) 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.

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

of The Fund designated for research, education, and extension

activities in the following areas: international competitiveness,

profitability, and efficiency; environmental stewardship; and rural

community enhancement.

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

Agriculture.

(9) 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 this

guidelines.

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

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

(11) Matching means that portion of allowable project costs not

borne by the Federal Government, including the value of in-kind

contributions.

(12) 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.

(13) 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.

(14) 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.

(15) Prior approval means written approval evidencing prior consent

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

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

program supported by a grant award.

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

document and modifications thereto, if any, during which Federal

sponsorship begins and ends.

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

officer or employee of the Department to whom the authority involved

may be delegated.

(19) 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).

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

(21) 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.

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 competitively awarded

research, education, and extension grants. Funds for the competitive

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

year period. The Department expects to award approximately $33,464,400

as grants to meritorious eligible applicants under this request for

proposals (RFP), including all funds designated for the Secretary's

Initiative. A subsequent RFP for Fund for Rural America (FRA) Centers

will be issued for not more than $7,584,000 of FY 1997 funds.

Funds, not to exceed one percent of total available funds, will be

used to support the Planning Grants for FRA Centers. Proposals may be

submitted for Center Planning Grants up to $25,000 per proposed FRA

Center for a maximum project period of six months; and Standard Project

Grants up to $600,000 per project for a maximum project period of four

years. Note that CSREES will solicit Center grant applications only

from those applicants who are successful in receiving a Center Planning

Grant. Thus, applicants intending to submit a Center proposal should

register that intention by submitting a Center Planning Grant

application.

Not less than 15 percent of the funds awarded under this program

for research, education, and extension activities under the Core

Initiative and the Secretary's Initiative 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

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(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.

E. Matching Funds Requirement

A grant awarded for applied research that is commodity-specific and

that is not of national scope must be matched by the recipient with

equal funds from a non-Federal source. The matching requirement may be

satisfied through allowable costs incurred by the recipient or

subrecipient and through third party in-kind contributions.

There is no matching requirement for other grants awarded under

this RFP.

Part II. Program Description

A. Purpose of the Program.

The creation of the Fund coincides with fundamental reforms to

Federal farm programs. Commodity program deficiency payments are

eliminated and replaced with transition payments that are to decline

over seven years. These policy changes are likely to have substantial

impacts on production agriculture, most apparently by shifting price

and income risk management away from government programs to farmers

themselves.

At the same time, rural communities are experiencing the effects of

transition due to changes in Federal natural resource policy,

demographic shifts and increasing globalization. Farming is no longer

the dominant source of economic activity in rural America. Most rural

jobs are found in manufacturing, service or government. The natural

resource base of rural areas often is valued more for its amenities as

a place to retire, recreate and reside than it is for extractive

industrial development such as timber harvesting and mining as

demonstrated by recent population gains in high amenity communities.

Changes in international trade policy may have put pressure on low-

skill rural jobs from overseas competitors.

Given the dynamic changes and challenges facing agriculture and

rural communities in general, The Fund provides a short-term

opportunity (3 years) to invest in unique, innovative, high-impact

research, education, and extension programs and projects to aid

farmers, ranchers, and rural communities during this time of transition

to place themselves in a more competitive position for the future. As a

new and distinct element in USDA's portfolio of research, education,

and extension programs, The Fund can mobilize the agricultural

knowledge system to respond to the emerging problems faced by

agricultural producers and rural communities during this time of

change.

The Fund provides an opportunity to develop a new program to

complement USDA's existing portfolio of fundamental and applied

research, extension, and higher education programs. The Fund allows,

for the first time, the integration of research, education, and

extension activities for joint funding. Successful application and

adoption of research findings requires explicit coordination with

education and extension activities. The Fund will encourage

collaboration among educators, research scientists, and extension

personnel to jointly identify and solve problems relevant to rural

communities. The aim of The Fund is to advance the findings of research

into practical applications to address current and emerging problems

and to develop new opportunities for the benefit of rural America and

the nation.

B. Approach

Approaches to be Encouraged: The Fund will be available for

applied, developmental, and adaptive research; technology transfer;

extension and related outreach activities; and education. Projects will

be awarded for short- and intermediate-term application of existing

investments in research and development (R&D) through integration of

research, extension, and education activities. The Fund grants program

will emphasize biological, physical, and social sciences to address

systems-based problems. This requires involvement of affected parties

within the system (such as producers, commodity groups, environmental

interests, rural communities, and other program beneficiaries);

therefore, The Fund will give priority to projects that are designed

and proposed by eligible grant recipients in collaboration with

institutions, organizations, and communities of interest. Strong

partnerships will be critical to leverage and apply research,

education, and extension investments to address user needs and solve

community-defined problems.

For the purposes of assessing proposals submitted to The Fund, the

following priorities will apply:

A Systems-based approach takes a broad rather than reductionist

view, and thus describes how a set of elements or components are

related and how those relationships are relevant to problematic

situations. The Fund strongly encourages research, extension, and

education activities that explicitly recognize, account for, and

enhance the interactions among agricultural, forestry, or agribusiness

activities, natural resource or environmental quality, and economic or

community well being.

Inter- or multidiciplinary approaches integrate or combine separate

discoveries by scientists in different disciplines that can have their

greatest potential value realized when related to one another. For

example, findings from genetics, plant physiology, crop breeding, and

economics are relevant to exploring alternatives for making crops more

disease resistant without sacrificing other valued attributes and

characteristics. The Fund strongly encourages proposals that integrate

the findings or knowledge of multiple disciplines in order to gain the

comprehensive understanding needed to solve complex problems.

Leveraging prior investments in research and technology development

(R&D) is essential to maximizing the impact of The Fund. Many federal

research grant programs support basic research (the creation of new

knowledge) or fundamental technology development (the development of

prototypes or broadly applicable technologies). Although the private

sector also has a relatively large role in applied research and more

specific technology development, there are many research findings and

new technologies that remain unexploited as keys to resolving natural

resource management and other problems of agricultural, forest, and

rural systems and that therefore require public support. The Fund

strongly encourages proposals that: (1) take advantage of prior R&D

investments in adapting those findings to actual production,

processing, marketing, environmental, or community systems, and (2)

investigate and propose solutions to overcoming barriers to adoption of

new or improved technologies, particularly those technologies with the

potential to resolve natural resource and environmental quality

problems in agricultural and forest systems.

Innovative collaborations and partnerships are those designed to

build sustainable solutions to agricultural and rural problems through

community participation. Communities may include geographic locations,

as well as broad communities of interest such as commodity groups,

consumer and environmental interests, agricultural producers, and other

research, education, and extension users and beneficiaries. It is

increasingly recognized that long-run solutions to

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agricultural and community issues require inclusive approaches

encompassing diverse individuals and groups affected by the issue and

the potential solutions. The Fund strongly encourages proposals that:

(1) use collaborations and partnerships among institutions (including

Federal agencies, national laboratories, established research

organizations, and colleges and universities including community

colleges and tribal colleges, as well as state agencies, associations

and other interests) to build and enhance effective linkages with local

communities, user groups, and their grass-roots leadership, and (2)

bring together diverse organizations and interests to derive innovative

approaches to problems and forge partnerships for the future.

C. Focus of the Program

The Fund entails two initiatives: (1) The Fund Care Initiative

which addresses and links international competitiveness, profitability,

and efficiency; environmental stewardship; and rural community

enhancement and, (2) The Secretary's Initiative to Ensure a Safe,

Competitive, Nutritional and Accessible Food System.

1. The Fund Core Initiative

Proposals will be solicited at three levels: (1) single issue areas

that address barriers to solving systemic problems; (2) projects that

include approaches at the intersection of two sets of issues; and (3)

projects that address issues that relate all of the issue areas.

Standard grant proposals may include multinational collaborations. At

the fully integrated level, consortia, centers, and other multi-

institutional collaborations will be considered.

The Fund will seek project proposals that will provide solutions to

problems and advance new opportunities within three objectives that

encompass the eight purposes of the enabling legislation (FAIR Act

Section 703(c)(2)(A)), including:

(1) International competitiveness, profitability, and efficiency.

This set of objectives centers on issues and opportunities arising from

the changes in farm and trade legislation leading to globalization of

markets in food, feed, and fiber, including exposure to risk, barriers

to trade, and new market opportunities. In addition, it will address

plant and animal systems and new technologies and management practices,

particularly those which improve farm efficiency and profitability.

This program incorporates the following purposes included in The Fund

provisions of the FAIR Act: (1) increase international competitiveness,

efficiency, and farm profitability; (2) reduce economic and health

risks; (4) develop new crops, new crop uses, and new agricultural

applications of biotechnology; (5) enhance animal agriculture

resources; (6) preserve plant and animal germplasm. This set of

objectives also may contribute to achieving purposes (7) increase

economic opportunities in farming and rural communities, and (8) expand

locally-owned, value-added processing, of the enabling legislation.

Examples of potential research, education, and extension activities

include, but are not limited to:

--Applied and adaptive research to develop new crops for value-added

processing, to meet emerging markets, and increase flexibility and

responsiveness to risk.

--Research to improve the science base for and compliance with sanitary

and phytosanitary standards for meat and other agricultural and food

products in international trade; integration of this with analysis of

trade opportunities and barriers.

--Development and testing of new curricula to internationalize academic

programs in agriculture, natural resources, and related sciences.

--Extension to improve producers' risk management knowledge, skills,

and practices.

(2) Environmental stewardship. This set of objectives focuses on

stewardship of the natural resource base underlying agriculture and

forestry, as well as the amenity-based economic activities of rural

communities. Several issues in this area include groundwater

contamination; wildlife habitat loss; air and water pollution from

agricultural activities, including animal waste; and soil erosion and

decline in quality. It addresses the following purposes of the

legislation: (3) conserve and enhance natural resources; (4) develop

new crops, new crop uses, and new agricultural applications of

biotechnology; and (6) preserve plant and animal germplasm.

Examples of potential research, education, and extension activities

include, but are not limited to:

--Adoptive research to develop new strategies for animal waste

management such as utilizing advances in genetics to directly and

indirectly (through feeds) reduce environmental contaminants in animal

waste.

--Technology development for mass rearing of biological control agents

along with grower education.

--Extension on new water-efficient farming practices.

--Economic analysis of the amenity value of forests, wildlife and the

biological landscape.

--Utilizing agroecosystems to line agricultural and natural resource

education.

(3) Rural Community enhancement. This objective seeks to address

the problems of outmigration, persistent poverty, unemployment, and

low-skill and low-wage jobs in rural communities. Rural community

enhancement objectives also include quality of life issues such as the

cost and availability of services in rural areas, particularly those

that influence health risks. This objective also could be achieved

through the development of new crops, new crop uses and locally-owned,

valued-added processing as rural economic development strategies in

natural resource and agriculturally-based areas. This objective links

farm and forest profitability to innovative practices, and crops and

crop uses to community advancement. This issue set can address a broad

range of purposes in The Fund including (1) increase international

competitiveness, efficiency, and farm profitability; (2) reduce

economic and health risks; (4) develop new crops, new crop uses, and

new agricultural applications of biotechnology; (7) increase economic

opportunities in farming and rural communities; and (8) expand locally-

owned, value-added processing.

Examples of potential research, education, and extension activities

include, but are not limited to:

--Local leadership development.

--Technology transfer models for linking advances in research to job

growth, waste management and related challenges.

--Extension approaches to community strategic planning for jobs,

resources, services, and economic stability.

--Risk assessment of vulnerabilities of rural, and isolated elderly and

poor.

--Innovations in delivery of education and information in rural areas.

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Today's most pressing problems and emerging issues contain elements

of each of the three constellations of issues to be addressed through

The Fund, and are found at the intersections of the three areas. The

essential character of The Fund competitive grants program is defined

by emphasis on the intersections of problems. The greatest challenge to

agriculture and rural America is trying to solve problems in the

context of related issues. For example, community economic development

strategies based on extraction of natural resources come into conflict

with environmental conservation. The use of no-till soil conservation

methods is suspected to be resulting in vomitoxin in wheat,

jeopardizing U.S. wheat exports. Increasing global competitiveness can

result in loss of low-skill jobs in rural communities. The Fund

competitive grants program will give highest priority to projects which

address multiple, contextual issues; it will also support activities to

overcome barriers in knowledge or technology which will enable

solutions to complex, interrelated issues.

2. The Secretary's Initiative to Ensure a Safe, Competitive,

Nutritional and Accessible Food System

Providing food that is nutritious, safe, affordable and accessible

is vital to agricultural production, to human health, and to the

maintenance of the U.S. economy. Therefore the Secretary of Agriculture

has set aside an additional $10 million (approximately $9.4 million

net) of the Fund to support research, education, and extension

activities that hold exceptional promise to provide needed information

and education in the following areas:

1. Research, technology transfer, and education for small meat and

poultry processors to implement HACCP regulations for the control of

hazardous pathogens. In July 1996, the USDA Food Safety and Inspection

Service (FSIS) issued final regulations to strengthen food safety

controls in meat and poultry processing through a system known as

Hazard Analysis and Critical Control Points (HACCP). HACCP requires

meat and poultry processors to develop systematic plans for controlling

physical, chemical and biological hazards, including microbial hazards

in their processing plants. The deadline for compliance for ``small''

processing plants (between 10 to 499 employees) is 1999. The deadline

for ``very small'' processing plants (less than 10 employees or with

annual sales under $2.5 million) is the year 2000. According to FSIS,

about 8,300 small and very small processing plants will be affected.

The resources and capabilities necessary for implementation of HACCP

are limited by the size of these firms. They will need research-based

educational assistance to comply with the regulations in order to

continue producing a safe product. Assistance through the Fund will

ensure that these firms stay competitive in the meat processing

industry and provide farmers

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and ranchers with competitive marketing outlets for their livestock.

Examples of potential research, education and extension activities

include, but are not limited to:

--Assessment of educational needs of small and very small plants to

achieve HACCP implementation.

--Analysis of the hazards unique to small and very small plants

including biological, chemical, or physical risks.

--Applied and adaptive research on the control of microbials and

related hazards, particularly in small plants.

--Training on monitoring protocols and recordkeeping to trace

contamination to its source.

--Development and delivery of guidance and educational materials,

methods and programs.

2. Research, education, and extension to improve the competitive

position of small, independent livestock producers in an increasingly

concentrated market. Increasing specialization and rapid growth in the

meat packing industry has created a market situation with four large

firms slaughtering about 80 percent of the fed cattle in the United

States. A similar level of concentration exists in the lamb industry

and concentration in the hog industry is increasing. Farmers need

access to current market information and the most up-to-date marketing

tools to market livestock to their best advantage.

USDA is making changes in its regulatory programs and market price

reporting in response to recommendations from the USDA Advisory

Committee on Agricultural Concentration. An increased emphasis on

review of industry trade practices and competition in the industry is

underway. At the same time, the Fund research, education and extension

programs will supplement regulatory efforts by providing independent

producers with knowledge, skills, and technologies that will enable

them to remain profitable and competitive in the livestock market.

Alternative marketing tools and new market outlets are needed to

keep small sellers competitive in the livestock industry. Production

technologies and management systems appropriate for smaller sellers are

needed to identify and enhance the competitive position of small

sellers. For example, small sellers may have the ability to meet a

growing number of niche markets for specialized meat products.

Research, education, and extension is needed to test this potential.

Emphasis will be given to the needs of small and moderate-sized

livestock producers.

Examples of potential research, education and extension activities

include, but are not limited to:

--Research, development and on-farm extension education about low-cost

production facilities, such as hoop housing for swine production,

combined with management systems and genetics appropriate to these

facilities.

--Research and extension on management-intensive grazing systems for

beef and dairy production to realize potential for reduced capital and

feed costs through greater use of management skills for optimizing

labor availability and the natural benefits of grazing pastures.

--Research and extension on integrated crop and livestock systems.

Smaller, more diversified farms typically integrate ``economies of

scope'' compared to larger, industrialized farms that concentrate on

specialization and ``economies of scale.'' Research and extension

education to enhance crop and livestock integration in ways that

increase efficiencies, reduce costs and prevent environmental pollution

can strengthen the competitive position of small producers.

--Economic analysis and market feasibility studies are needed to

identify new and expanded market opportunities where small producers

would have tools and strategies to meet consumer demand (both domestic

and international) for specialized, lean or natural meats and

specialized value-added products. Opportunities for cooperative

marketing and value-added strategies for meat production and processing

could be explored and demonstrated through innovative extension and

outreach programs.

--Technology assessment comparing the technological resources of large,

specialized producers with the technological needs of small producers

to identify and transfer existing technology across all sizes and

scales and/or identify the specific research and education needs of

each.

--Analysis to evaluate the economic impact of integrator's practices

and procedures on contract poultry growers. Greater understanding of

the underlying economics in the poultry industry is needed to guide

policy development. Research and analysis is needed to examine the

growers' investments, length of contracts, exposure to early

termination, other risks, operating characteristics (e.g., type of

poultry houses, equipment and layout periods), operating costs by type

of cost (labor, capital, fuels, utilities, dead bird disposal, etc.),

responsibility for costs (grower or integrator), productivity, revenue

and contract settlements.

--Development of new research methods and procedures to collect

necessary data and measures for reporting of line-of-business profits

for meat packers. Detailed financial and statistical data are needed to

generate meaningful industry performance indicators, such as

profitability, procurement expense, selling expense, research and

development costs, and various financial ratios. The collection of

appropriate data is needed for economic analysis of industry structure,

conduct and performance issues. Cost allocations, revenue allocations,

definitions of lines of business, and frequency of reporting are

examples of issues needing research.

3. Research, education and extension to identify and utilize

phytonutrients with cancer-prevention potential in the design of

functional foods for disease prevention. Current research on cancer and

diet linkages has led to the identification of over 600 plant-derived

chemicals (phytochemicals, or phytonutrients) along with non-nutrient

plant components with cancer-prevention potential. These include anti-

oxidants such as beta carotene and vitamins E and C. Further research

is needed to understand the independent and interactive effects of

phytonutrients and to identify additional protective components.

Genetic engineering techniques make it possible to transfer, enhance or

suppress specific genes from one plant species to another for the

development of ``functional foods.'' Functional foods refers to any

modified food or food ingredient with the potential to provide a health

benefit and to prevent against disease. Congress called for greater

research efforts to develop new varieties of fruits and vegetables for

the prevention of diet-related diseases in the FAIR Act Sec. 1424A,

Pilot Research Program to Combine Medical and Agricultural Research.

Following on the research recommendations outlined by the Institute

of Medicine of the National Academy of Sciences, examples of potential

research, education and extension activities include, but are not

limited to:

--Research to create foods that have increased amounts of the

beneficial components found in fruits, vegetables and grains.

[[Page 4388]]

--Methods to monitor the effectiveness of functional foods on improving

health and preventing diseases.

--Research and analysis to support the issuance of regulatory

guidelines to ensure the safety and efficacy of functional food

products.

--Research on food choice behavior leading to extension and education

programs designed to increase the intake of foods rich in

phytonutrients.

4. Research, education and extension to promote increased gleaning

and food recovery. The most commonly referenced information on the loss

and waste of food at various stages of the food system is based on 1974

data assembled by the General Accounting Office. This information does

not reflect current trends in food production, transport, storage,

acquisition or consumption patterns and preferences--all of which have

significantly changed over the past two decades.

Examples of research, education and extension activities include,

but are not limited to:

--Current information concerning the source(s) of greatest loss in

order to facilitate an expansion in gleaning and food recovery

activities.

--Research and extension efforts to develop and implement mechanisms

such as community-operated canneries or dehydration facilities to

extend the ``shelf life'' of recovery food.

--Extension education and outreach to provide food safety training in

safe food handling practices for organizations involved in gleaning and

food recovery programs.

E. Funding Mechanisms

Two funding mechanisms will be utilized to support projects under

this REFP: (1) Standard Program Grants (for The Fund Core Initiative

and The Secretary's Initiative), (2) Planning Grants for Fund for Rural

America (FRA) Centers (for the Fund Core Initiative only).

Standard Project Grants Opportunities for research, education and

extension in the aforementioned areas of the Fund Core Initiative and

the Secretary's Initiative have been underscored as a means of

providing exceptional promise for solving current and unforeseen

problems in rural communities and agriculture. Successful Standard

Project Grants will form the basis of The Fund by bringing a broad

array of expertise and approaches to individual or collaborative

efforts in specified problem areas and/or which relate two or more of

the issue areas described in the Fund Core Initiative. Standard Project

Grants may involve separate research, education, and extension

activities to fill gaps in knowledge or programs which constitute

barriers to contextual problem solving. The Fund emphasizes multi-

functional, integrated problem solving, however. See ``Preparation of a

Proposal'' section for details on Standard Project Grant application

requirements.

Planning Grants for a FRA Center CSREES intends to assist eligible

applicants as described in Part I.C. of this RFP to establish centers

that bring together individuals, institutions, states and/or regions in

support of research, education and extension in a collaborative process

towards a common goal. An ``FRA Center'' is expected to meet needs in

agricultural research, education and extension that cannot be met

through funding of separate efforts. It is the intent of CSREES to

promote collaboration, open communication, exchange of information and

resources, and integration of activities among individuals,

institutions, states or regions now working independently into

coordinated efforts around common themes that span institutional or

geographical boundaries. By supporting Centers, CSREES will bring

together a critical mass of individuals and expertise to address

problems and issues outlined to be important to rural communities,

producers, and the agricultural enterprise. Centers will minimize

isolation and over-competitiveness, reduce duplication of effort,

enhance multidisciplinary, multifunctional and collaborative efforts,

and provide an accessible source of expert information, technology, and

education upon which the public can draw.

While FRA Centers should focus on the purposes of the Fund, it is

expected that each Center will broadly span functional areas and

address problems that bridge research, education and extension. FRA

Centers may focus on a defined issue with multiple facets which span

the three main goals of the Core Initiative, or may be established to

identify opportunities to solve problems through broad strategies such

as technology transfer. Funding will be provided to eligible applicants

for the management, administration and technical operations of the

Center; however, construction, acquisition, expansion, remodeling, or

alteration of facilities or buildings and purchase of fixed equipment

with Fund grant money is prohibited.

In preparation for a subsequent solicitation of Center

applications, CSREES will support a limited number of FRA Center

Planning Grants. The purpose of Planning Grants will be to provide up

to $25,000 of funds to enable project leaders to bring together the

necessary people and technology to plan a Center application. By

awarding Center Planning Grants, CSREES will enable a greater number of

groups to be at an equal stage of planning when the solicitation for

Center grants occurs, allowing for the submission of high quality

Center applications. CSREES will solicit Center applications only from

those applicants who are successful in receiving a Center Planning

Grant. Thus, applicants intending to submit an FRA Center proposal

should register that intention by submitting a Center Planning Grant

Application. The current RFP Planning Grants will support only the

planning stage of a FRA Center. It is expected that Center applications

will be solicited approximately 4 to 6 months after Center Planning

Grants are awarded. See ``Preparation of a Proposal'' section for

Centers Planning Grant application requirements.

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;

USDA/CSREES at (202) 401-5048. When calling the Proposal Services Unit,

please indicate that you are requesting forms for the Fund 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 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

[[Page 4389]]

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

this 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. Project Narrative: All proposals are to be submitted on standard

8\1/2\'' x 11'' paper with typing on one side of the page only. In

addition, margins must be at least 1'', 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 to prevent loss of meaning through poor quality

reproduction. Such illustrations are not included in the page

limitation for project narratives.

A. Standard Project Narrative

The narrative portion of the Standard Project Proposal is limited

to 20 pages of text.

1. Introduction. A clear statement of the goal(s) and objective(s)

of the project should be included. The problem should be set within the

context of work that has come before it and in 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, to the purposes of the National Agricultural Research, Extension,

and Teaching Policy Act of 1977, as amended (7 U.S.C. 3107), and to the

problem 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

4. Time table. Tentative schedule for conducting the major steps of

the project.

5. 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.

6. Relationship to partners, communities of interest, and

stakeholders. 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. Clearly describe how results and information will be

disseminated or transferred to end users. Evidence 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, must be provided via letters by the parties involved. 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.

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.

B. Planning Grants for FRA Centers Narrative

In preparing Center Planning Grants, applicants should include the

following information in place of the information identified in Part

III.4.A.:

(1) Center Concept: Describe the Center to be proposed, how the

Center fits within the objectives of the Fund, how the Center bridges

research, education and/or extension, how the Center will add value

over funding of separate efforts (2 pages maximum).

(2) Planning Activity: Describe the activities to be included under

the planning portion of the Center activity. Activities could include:

meetings of involved parties, forums to gain input from communities of

interest, review and assessment of reports of agricultural and rural

communities strategic plans and objectives, etc. (2 pages maximum).

(3) Collaborative Arrangements: Identify collaborations and provide

a full explanation of the nature of the collaborations (1 page

maximum).

(4) Timetable: Describe how planning activities can be completed in

a four- to six-month time period (expected length of time between award

of Center Planning Grants and solicitation of Center proposals).

5. 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.

6. 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.

[[Page 4390]]

7. 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.

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 USDA. In that grants supported by

The Fund may include numerous activities other than traditional

instruction or research, the institution may choose to request rates

that are lower than the institution's approved negotiated research or

instructional rate. Center Planning Grants may request indirect costs

up to a maximum of 8% of Total Federal Funds Awarded for this project.

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. Matching Funds (if required)

(1) Proposals must include written verification of commitments of

matching support (including both cash and in-kind 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

representatives of the donor organization and the applicant

organization, which must include: (1) The name, address, and telephone

number of the donor; (2) the name of the applicant organization; (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 in-kind contributions, a separate pledge

agreement for each contribution, signed by the authorized

organizational representatives of the donor organization and the

applicant organization, which must include: (1) the name, address, and

telephone number of the donor; (2) the name of the applicant

organization; (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

in-kind contribution; and (5) a statement that the donor will make the

contribution during the grant period.

(2) The sources and amount of all matching support from outside the

applicant institution should be summarized on a separate page and

placed in the proposal immediately following the budget form. All

pledge agreements must be placed in the proposal immediately following

the summary of matching support.

(3) In order to use a cost as matching support, the cost must be

allowable under the program.

c. 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

behind Form CSREES-55.

[[Page 4391]]

8. 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 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.

9. Assurance Statement(s), (Form CSREES-662): A number of

situations encountered in the conduct of projects require special

assurances, supporting documentation, etc., before funding can be

approved for the project. In addition to any other situation that may

exist with regard to a particular project, it is expected that some

applications submitted in response to these guidelines will involve the

following:

1. Recombinant DNA or RNA Research. As stated in 7 CFR Part

3015.205(b)(3), all key personnel identified in the proposal and all

endorsing officials of the proposing organization are required to

comply with the guidelines established by the National Institutes of

Health entitled, ``Guidelines for Research Involving Recombinant DNA

Molecules,'' as revised. If your project proposes to use recombinant

DNA or RNA techniques, the application must so indicate by checking the

``yes'' box in Block 19 of Form CSREES-661 (``Application for

Funding'') and by completing Section A of Form CSREES-662. For

applicable proposals recommended for funding, Institutional Biosafety

Committee approval is required before CSREES funds will be released.

2. Animal Care. Responsibility for the humane care and treatment of

live vertebrate animals used in any grant project supported with funds

provided by CSREES rests with the performing organization. Where a

project involves the use of living vertebrate animals for experimental

purposes, all key project personnel identified in a proposal and all

endorsing officials of the proposing organization are required to

comply with the applicable provisions of the Animal Welfare Act of

1966, as amended (7 U.S.C. 2131 et seq.) and the regulations

promulgated thereunder by the Secretary in 9 CFR Parts 1, 2, 3, and 4

pertaining to the care, handling, and treatment of these animals. If

your project will involve these animals or activities, you must check

the ``yes'' box in Block 20 of Form CSREES-661 and complete Section B

of Form CSREES-662. In the event a project involving the use of live

vertebrate animals results in a grant award, funds will be released

only after the Institutional Animal Care and Use Committee has approved

the project.

3. Protection of Human Subjects. Responsibility for safeguarding

the rights and welfare of human subjects used in any grant project

supported with funds provided by CSREES rests with the performing

organization. Guidance on this issue is contained in the National

Research Act, Pub. L. No. 93-348, as amended, and implementing

regulations promulgated by the Department under 7 CFR Part 1c. If you

propose to use human subjects for experimental purposes in your

project, you should check the ``yes'' box in Block 21 of Form CSREES-

661 and complete Section C of Form CSREES-662. In the event a project

involving human subjects results in a grant award, funds will be

released only after the appropriate Institutional Review Board has

approved the project.

10. CRIS Forms AD-416 and AD-417: In order to document projects in

the Current Research Information System's (CRIS) data base, CSREES

requires the submission of the CRIS Forms AD-416 and AD-417 prior to

the release of grant funds. Only one completed copy of each form must

be submitted with the original pen-and-ink copy of the proposal. Fields

1, 19, 20, 21, 28, 29, 30 and ``Duration'' should be left blank, as

these will be completed by CSREES upon award. CSREES will not release

funds for the proposed award until the completed CRIS forms are

received; therefore, prompt action on this requirement is essential for

the initiation of the project.

11. Compliance with the National Environmental Policy Act (NEPA):

As outlined in 7 CFR Part 3407 (the Cooperative State Research,

Education, and Extension Service 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 for Planning Grants for FRA Centers must be received

by close of business on March 24, 1997. Standard Project proposals must

be received by close of business on April 28, 1997. Proposals sent by

First Class mail must be sent to the following address:

Proposal Services Unit, Grants Management Branch, Office of Extramural

Programs, USDA/CSREES, STOP 2245, 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; USDA/CSREES; 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

[[Page 4392]]

identifying proposal number. Once your proposal has been assigned an

identification number, please cite that number is 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

The review of applications submitted for funding consideration,

will consist of a technical evaluation conducted by CSREES using the

competitive peer review process. Standard Project Grant 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 for Federally supported

research, education, and extension of the 1977 National Agricultural

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

U.S.C. 3107); 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.

Planning grants for FRA Centers will be judged using the following

criteria;

Merits of the FRA Center concept

Relevance of the future FRA Center to the purposes of The

Fund

Appropriateness of planning activities in assembling a

future FRA Center application

Competence of identified participants

Because planning grant applications will constitute a preliminary plan

for development of a FRA Center, peer review panels will concentrate

their evaluation on the merit and relevance of the conceptual framework

to achieving the goals of The Fund.

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 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.

4. Notice of Grant Award: 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

[[Page 4393]]

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

the CSREES 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 for such changes be approved 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 of CSREES 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 Department 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 approved 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 Federal Register 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 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.

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., this 24th day of January, 1997.

B.H. Robinson,

Administrator, Cooperative State Research, Education, and Extension

Service.

[FR Doc. 97-2273 Filed 1-28-97; 8:45 am]

BILLING CODE 3410-22-M