[Federal Register Volume 63, Number 27 (Tuesday, February 10, 1998)]
[Notices]
[Pages 6810-6816]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-3419]
[[Page 6809]]
_______________________________________________________________________
Part IV
Department of Agriculture
_______________________________________________________________________
Cooperative State Research, Education, and Extension Service, Risk
Management Agency, Federal Crop Insurance Corporation
_______________________________________________________________________
Request for Proposals; Notice
Federal Register / Vol. 62, No. 27 / Tuesday, February 10, 1997 /
Notices
[[Page 6810]]
-----------------------------------------------------------------------
DEPARTMENT OF AGRICULTURE
Cooperative State Research, Education, and Extension Service
Risk Management Agency
Federal Crop Insurance Corporation
Request for Proposals
AGENCIES: Cooperative State Research, Education, and Extension Service
(CSREES), Risk Management Agency (RMA), and Federal Crop Insurance
Corporation (FCIC), USDA.
ACTION: Announcement of availability of grant funds and request for
proposals for Agricultural Risk Management Education.
-----------------------------------------------------------------------
SUMMARY: CSREES and RMA, administering this program for FCIC, in
consultation with the Risk Management Education Steering Committee, is
soliciting proposals for a Risk Management Education Program under
section 516 of the Federal Crop Insurance Act and under a delegation of
authority memorandum from the FCIC to the Administrator of CSREES.
Projects are solicited in the following areas: 1. The delivery of risk
management education programs to producers and related agribusiness
operators in the U.S. agricultural sector (program delivery); 2. The
development of agricultural risk management educational curricula and
materials (curriculum and materials); and 3. Supporting research that
leads to improved risk management strategies and decision aids for
agricultural producers or that improves access to risk management
information (supportive research).
This notice sets out the objectives for these projects, the
eligibility criteria for projects and applicants, the application
procedures and instructions, and the project selection process and
evaluation criteria. To obtain application forms, contact the CSREES
Proposal Services Unit, Office of Extramural Programs, USDA/CSREES at
(202) 401-5048; e-mail: [email protected]. When contacting the Proposal
Services Unit, please indicate that you are requesting forms for the
Risk Management Education Program.
DATES: Applications must be received on or before April 13, 1998.
Proposals received after April 13, 1998 will not be considered for
funding.
FOR FURTHER INFORMATION CONTACT: Craig Witt, Risk Management Agency,
U.S. Department of Agriculture, Stop 0805, 1400 Independence Avenue,
S.W., Washington, D.C. 20250-0805; Voice: (202) 690-2957; Fax: (202)
690-2095; Internet: [email protected]; or Donald A. West,
Cooperative State Research, Education, and Extension Service, U.S.
Department of Agriculture, Stop 2212, 1400 Independence Avenue, S.W.,
Washington, D.C. 20250-2212; Voice: (202) 720-5633; Fax: (202) 690-
2522; Internet: [email protected].
Table of Contents
Part I--General Information
A. Legislative Authority
B. Definitions
C. Eligibility
Part II--Program Description
A. Purpose of the Program
B. Available Funds and Award Limitations
C. Indirect Costs
D. Scope of Program
E. Program Delivery
F. Curriculum and Materials
G. Supportive Research
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. When and Where to Submit
Part V--Selection Process and Evaluation Criteria
A. Selection Process
B. Evaluation Criteria
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
F. Evaluation of Program
G. Regulatory Information
Part I--General Information
A. Legislative Authority
Sections 506(l) of the Federal Crop Insurance Act, 7 U.S.C. 1506,
provides FCIC with the authority to carry out programs intended to
provide education in the management of risks inherent in the production
of agricultural commodities. Consequently, FCIC is providing assistance
to stimulate programs which help agricultural producers understand the
effective use of insurance protection programs and other related risk
management tools which lead to their improved financial stability.
FCIC funds this competitive grants program under its authority in
section 516 of the Federal Crop Insurance Act, 7 U.S.C. 1516, to fund
research and development of risk management programs for insurance
protection and related issues. FCIC and CSREES have entered into an
interagency agreement under the Economy act, 31 U.S.C. 1535, and FCIC
has delegated the necessary authority for CSREES to administer this
program for FCIC.
B. Definitions
For the purpose of making awards under this program, the following
definitions are applicable:
Administrator means the Administrator of the Cooperative State
Research, Education, and Extension Service (CSREES) and any other
officer or employee of the Department of Agriculture to whom the
authority involved may be delegated.
Agricultural Risk Management means the informed use of tools and
strategies by farmers, ranchers, and agribusiness firms to deal with
the risks encountered when producing and marketing agricultural
products. The insurance protection programs area, including those
related risks encountered in the production, marketing, financial,
legal, and human resource(s) aspects of agricultural operations, is the
primary thrust of this RFP.
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.
Authorized Organizational Representative means the official
designated by the president or chief executive officers of the
applicant organization who has the authority to commit the resources of
the organization.
Budget Period means the interval of time (usually 12 months) into
which the project period is divided for budgetary and reporting
purposes.
Department or USDA means the United States Department of
Agriculture.
Grant means the award by the Administrator of CSREES or his
designee of funds to an eligible entity whose proposal has been
selected under this RFP.
Grantee means the organization designated in the grant award
document as the responsible legal entity to which a grant is awarded.
Insurance (Risk) Protection Programs mean programs relating to crop
insurance and agriculture-related risks and losses.
Manager means the Manager of the Federal Crop Insurance Corporation
(FCIC).
Peer Review Panel means a group of experts qualified by training
and experience in particular fields designated by the Risk Management
Education Steering Committee to evaluate eligible proposals in those
fields submitted under this RFP.
[[Page 6811]]
Prior approval means written, prior consent by an authorized
departmental officer as defined above.
Producers and Related Agribusiness Operators mean individuals,
companies, or corporations engaged in the business of agriculture or in
the business of supplying agriculture with products or services.
Project Director means the person designated by the grantee in the
grant application and approved by the Secretary who is responsible for
the direction and management of the project.
Project means the insurance protection program or related risk
management education activity for which a grant has been requested.
Project period means the specific dates, as stated in the award
document and modifications thereto, if any, during which Federal
sponsorship begins and ends.
Public and private sector delivery points mean the direct contacts
between a person delivering the RME program and the producer (e.g., a
lender or insurance agent discussing risk management with a producer).
RME Steering Committee means the Risk Management Education Steering
Committee, consisting of representatives from RMA, CSREES, and the
Commodity Futures Trading Commission, formed by these agencies in an
April 1997 Memorandum of Understanding.
Request for Proposals (RFP) means an invitation to submit projects
for consideration for funding under this program.
Secretary means the Secretary of Agriculture and any other officer
or employee of the Department of Agriculture to whom the authority
involved may be delegated.
C. Eligibility
Except where otherwise prohibited by law, proposals are invited
from all colleges and universities, other research institutions,
Federal, State, and local agencies, nonprofit and for-profit private
organizations or corporations, and individuals, with strong
encouragement to minority organizations, which have a demonstrated
capability to conduct risk management education delivery, curricula
development or supportive research programs. Projects which represent,
involve, or foster partnerships between two or more eligible entities
are encouraged.
To compete for a grant, an entity must submit a completed
application before the announced deadline. To be eligible, an entity
must have: (a) The capacity and professional expertise to deliver
educational programs, prepare curricula and materials, or conduct
research in agricultural risk management; (b) adequate knowledge of
insurance protection programs and related areas in agricultural
production, marketing, financial, legal and human resource practices;
(c) competency to implement a project, provide fiscal accountability
and oversight, and prepare status reports and project documentation;
and (d) a demonstrated willingness to share information with
researchers, educators, and the public.
Although an applicant may be eligible to compete for an award based
on its status as an eligible entity, other factors may exclude an
applicant from receiving Federal assistance under this program (e.g.,
debarment and suspension, a determination of non-responsibility based
on the information submitted).
Part II--Program Description
A. Purpose of the Program
Recent events have placed greater responsibility on U.S. producers
to manage the risks of their operations. Recent changes brought about
by the Federal Agriculture Improvement and Reform Act of 1996, Pub. L.
No. 104-127, increased global competition and price variation, changes
in the structure of some agricultural segments, and the adoption of new
technologies have all contributed to a more risky environment for U.S.
farmers and ranchers. The need to manage risks in this new environment
is so compelling that it has prompted new efforts targeting increased
risk management education.
Many farm and ranch operators do not have the training to develop
effective risk management strategies involving insurance protection and
related techniques for their businesses. Moreover, the risks in
production, marketing, finance, legal, and human resources are
increasingly interconnected. Consequently, these risks demand
comprehensive strategies for their management. In seeking profit
opportunities in the new risk environment, producers and the
agricultural community can benefit from increased risk management
education, increased access to risk management information, and new
decision aids.
Proposals are requested for the purpose of stimulating the research
and development of education in the risks covered by insurance
protection programs, including the related areas of production,
marketing, finance, legal, and human resource(s). Specifically, these
programs should recognize the relationships between risk areas. They
should also be part of a substantial effort to reach all segments of
U.S. agricultural producers by increasing their awareness of both
traditional and new risk management tools.
Proposals are invited for competitive awards under the Risk
Management Education Program for fiscal year (FY) 1998. The purpose of
these awards is to provide U.S. agricultural producers with the
knowledge, skills, and tools needed to make better-informed risk
management decisions. Projects should incorporate one or more of the
following areas: (1) Deliver risk management training to U.S. farmers,
ranchers, and related agribusinesses; (2) develop and distribute risk
management educational curricula and materials; and (3) support
research that leads to improved risk management strategies,
information, or decision aids for producers. This grants program is
funded by the FCIC and administered by CSREES.
B. Available Funds and Award Limitations
For FY 1998, approximately $3 million is available for risk
management education and supportive research projects. The total of all
awards will not exceed $3 million for FY 1998. Proposals will be
awarded on a fiscal year basis with a one-year duration for projects
focused on educational program delivery and curricula development and
up to two years for those focused on supportive research.
Federal funding for each successful proposal will not exceed
$250,000. Proposed budgets are subject to negotiation, but the Federal
share will not exceed $250,000.
C. Indirect Costs
If requested, indirect costs must be justified and may not exceed
the current rate negotiated with the cognizant Federal negotiating
agency. 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. Due to the nature of the projects to be funded under
this program, applicants are encouraged to request rates that are lower
than an applicant's 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.
[[Page 6812]]
D. Scope of Program
Risk management education projects funded by this RFP are intended
to reach either U.S. agricultural producers directly or agribusinesses
that interact with U.S. producers. These projects must be directed to
(a) Program delivery; (b) the development of curriculum and materials;
and/or (c) supportive research and decision aids. Projects which
address more than one of these areas are encouraged. Also encouraged
are projects which form or foster private and public partnerships, are
likely to become self-supporting, and are innovative. All projects must
contain explicit information indicating how results from the project
will be measured, evaluated, and reported. The indicators used to
measure results of the project should be clear and objective and focus
on the anticipated impacts of risk management education or resulting
behavior of U.S. agricultural producers, to the extent possible.
E. Program Delivery
Program delivery is providing instruction and materials directly to
farmers and ranchers or training third party educators who have the
opportunity and ability to reach farmers and ranchers with risk
management education. A successful proposal in this area will include
the use of strong organizational skills to reach the farmers and
ranchers in a specific region or who use similar production practices.
Proposals should show how public or private sector (or both) delivery
points will be used to reach producers. Moreover, proposals should be
mindful of the private sector's competitive motivations and the
potential conflicts of interest in providing risk management education.
Proposals which use innovative educational techniques to deliver risk
management education are encouraged.
F. Curriculum and Materials
Educational curricula and materials are printed, electronically
based, or multi-media items which can be used in program delivery.
Proposals should offer materials which address important risk
management topics, are easy to use, and effectively communicate the
risk management message. Projects should produce teaching devices which
can be readily understood and easily adopted by program deliverers.
Those proposals which address topics and issues not covered in the body
of existing risk management education materials are encouraged. Also
encouraged are proposals which deal with the linkages among different
kinds of risk and their management.
G. Supportive Research
Supportive research is adaptive or applied research which results
in improved educational programming, practical tools, techniques,
strategies, or decision aids. Applied research on the unmet risk
management needs of crop and livestock producers is encouraged.
Producers should be able to use these results in making better risk
management decisions. Proposals should also focus on producing results
which will be readily understood by producers or by trainers when used
in program delivery. Proposals which include innovative approaches are
encouraged.
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 on the
purpose of the program, how the program will be conducted, the required
contents of a proposal, and the forms needed to prepare and submit
grant applications.
To obtain application forms, please contact the Proposal Services
Unit; Office of Extramural Programs; USDA/CSREES at (202) 401-5048.
When calling Proposal Services please indicate that you are requesting
forms for the Risk Management Education Program. Application materials
also may be requested via Internet by sending a message with your name,
mailing address (not e-mail) and telephone number to [email protected].
The request should indicate that you wish to receive a copy of the
application materials for the FY 1998 Risk Management Education
Program. Materials will then be mailed to you (not e-mailed).
B. Content of a Proposal
After you have received the application materials, you can complete
your application as follows:
1. Cover Page
Complete the ``Application for Funding'' Form in its entirety.
a. Note that providing a Social Security Number is voluntary, but
is an integral part of the CSREES information system and will assist in
the processing of the proposal.
b. One copy of the ``Application for Funding'' form must contain
the pen-and-ink signatures of the project director 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, 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 the proposal cover page.
The Table of Contents should include page numbers for each component of
the proposal. Pagination should begin immediately following the Table
of Contents.
3. Project Summary
The proposal must contain a concise project summary on a separate
page. This page must include the title of the project and the names of
the project director and the applicant organization, followed by a
project summary of 250 words or less. The project summary should
describe the overall goals and relevance of the project. It 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
The Project Narrative must be prepared on only one side of each
page using standard size (8\1/2\'' x 11''; 21.6 cm x 27.9 cm) white
paper, one-inch margins, typed or word processed using no type smaller
than 10 point font regardless of whether it is single or double-spaced.
The project narrative shall not exceed 10 pages. It must state and then
answer each of the following six questions:
(a) What risk management education activity or supportive research
project is being proposed? Explain the type of project, the direct or
ultimate beneficiaries of the project, and which areas of risk will be
covered. The project must be directed to either program delivery, the
development of curricula and materials, or supportive research. More
than one of these three activities can be included in one project.
Identify and describe the insurance protection and related areas of
risk (production, marketing, financial, legal, or human resources)
which will be included in the project. Describe the methodology to be
used, the procedures to be followed, and the time line for their
completion. Include a description of any innovative
[[Page 6813]]
techniques used in the project to advance risk management education.
(b) At what audience(s) is the project directed? Provide a
description of the U.S. agricultural production sector(s) for which the
project is intended. Describe the geographical area, demographic
profile, and perceived risk management needs of the proposed
beneficiaries of the project. Indicate reasons why these risk
management education needs are not being met with existing programs.
(c) What are the goals of the project? Describe the goals of the
project and the procedures to be followed in meeting them. Indicate how
the project will make a positive measurable impact on producer's
knowledge of agricultural risks and their ability to cope with these
risks. Indicate, also, how the impact of the project will be measured
and how results will be reported. Ensure that indicators used to
measure the results of the project are relevant and as objective as
possible.
(d) What partnering opportunities will be created through the
project? Identify the private and public organizations that will
participate in the project. Identify any additional organizations which
may become involved or have a positive influence on risk management
education as a result of the project.
(e) How can the project become self-sustaining? For program
delivery proposals, or components of proposals, indicate how the
project can become self-sustaining in the absence of further outside
funding. Specify mechanisms such as user fees or product sales that
could be used.
(f) How does the project assist in the effort to provide simple and
practical risk management tools to producers? Describe the ways in
which the project activities will communicate clearly and simply with
producers. Indicate the ways in which this project will result in the
producers receiving practical, user-friendly materials or tools for
risk management.
5. Key Personnel
Identify the primary project director, the co-project manager(s),
and other key personnel committed to this project. Summarize the
relevant experience of key project personnel that will enable them to
successfully complete the project. Include brief vitae which provide
enough information so that proposal reviewers can make an informed
judgment as to their capabilities and experience. An organizational
chart for the project should be provided if available.
6. Budget
Budget Form: Prepare the budget form in accordance with
instructions provided with the form. Projects selected for program
delivery or curricula and materials will be funded for up to one year.
Projects selected for supportive research will be funded for up to two
years. 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, if more than one year. 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
authorizing legislation, applicable Federal cost principles, these
program guidelines, and can be justified as necessary for the
successful conduct of the proposed project. Requested expenditures for
equipment should not represent more than 10 percent of the budget
total.
7. Current and Pending Support
All proposals must list any 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 other
possible sponsors will not prejudice proposal review or evaluation 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. The application material includes Form CSREES-663 which
is suitable for listing current and pending support.
8. Compliance With the National Environmental Policy Act (NEPA)
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
placed after the Form CSREES-661, ``Application for Funding,'' in 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 14 copies of each proposal must be submitted. Each
copy must be stapled in the upper left-hand corner (DO NOT BIND). All
copies of a proposal must be submitted in one package.
B. Where and When to Submit
Proposals must be received by close of business on April 13, 1998.
A proposal's postmark date is not a factor in whether an application is
timely received. The applicant assumes the risk of any unforeseen
delays in proposal delivery. Proposals sent by First Class mail must be
sent to the following address: Risk Management Education Program, c/o
Proposal Services Unit, Office of Extramural Programs, USDA/CSREES,
Stop 2245, 1400 Independence Ave., S.W., Washington, D.C. 20250-2245;
Telephone: (202) 401-5048.
Note: Hand-delivered proposals or those delivered by overnight
express service should be brought to the following address: Risk
Management Education Program, c/o Proposal Services Unit; 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
[[Page 6814]]
acknowledgment will contain an identifying proposal number. Once a
proposal has been assigned an identification number, the number should
be referred to in future correspondence.
Part V--Selection Process and Evaluation Criteria
A. Selection Process
Each proposal will be evaluated in a three-part process. First,
each proposal will be screened by CSREES to ensure it meets the
requirements as set forth in this solicitation. Second, proposals that
meet these requirements will be technically evaluated by an expert peer
review panel(s) selected by and using procedures approved by the RME
Steering Committee. Evaluation criteria are set forth below. Each
proposal will be judged on its own merit. Third, after the peer review
panel(s) submits its recommendations to the RME Steering Committee, the
Administrator of CSREES or his designee will make the final award
decisions in consultation with the RME Steering Committee.
B. Evaluation Criteria
The peer review panel(s) will evaluate all proposals using the
following criteria:
1. Program Need 20 Points
How well does the proposal identify an existing risk management
education need for insurance protection or a related area that can be
filled by the project? How pressing is the need identified in the
project? Does the project address topics, issues, or needs of producer
groups not covered in existing risk management educational programs?
2. Professional Expertise: 20 Points
Which skills, talents, and professional experiences do the
applicants bring to the project? What does the track record of the
applicants indicate about the likely delivery and quality of the
project results?
3. Partnering: 10 Points
To what extent does the project involve organizations or groups
with the capacity to conduct risk management education or supportive
research? How will this partnering enhance the effort to educate
agricultural producers?
4. Feasibility: 10 Points
How realistic are the project's stated goals and objectives? What
is the probability that the project will reach its objectives, given
the skills and prior performance of the applicant?
5. Simplicity and Practicality: 10 Points
How well does the proposal recognize the need for simplicity and
practicality in risk management education for U.S. farmers and
ranchers? How well will farmers and ranchers be able to understand and
use the results of the project?
6. Measurability of Results: 10 Points
Are the goals and objectives of the project well-defined? Have
provisions been made to measure the impact of the project? How
objective and reliable are the proposed measurements and what
provisions are made for reporting results on a timely basis?
7. Innovation: 10 Points
Does the proposal offer innovative approaches, procedures or
solutions to the problems addressed? For example, how well does the
project use new technology to accomplish its objectives? Does the
project address linkages among various sources of risk and management
strategies to deal with them?
8. Sustainability: 10 Points
For projects focused on program delivery, how long will the
positive effects of the project likely continue? Are mechanisms set in
motion by this project that assure that the delivery activity will
continue in the absence of outside funding?
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 basis 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.
B. Grant Awards
1. General
Within the limit of funds available for such purpose, the awarding
official of CSREES shall make grants to eligible applicants whose
proposals are judged most meritorious under the technical 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 and administered 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, 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, as amended).
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 this program if such information has not been provided previously
under this or another program for which the sponsoring agencies are
responsible. Copies of forms recommended for use in fulfilling the
requirements contained in this section will be provided by USDA as part
of the pre-award 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 Department 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 their 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.
5. CSREES will award standard grants to carry out this program. A
standard grant is a funding mechanism whereby
[[Page 6815]]
CSREES agrees to support a specified level of effort for a
predetermined time period without additional support at a future date.
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 CSREES Authorized Departmental Officer for a final determination.
b. Changes in approved goals, or objectives, shall be requested by
the grantee and approved in writing by the CSREES Authorized
Departmental Officer 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 awarding official 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 Authorized Departmental Officer 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 Authorized Departmental Officer,
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 authorized
departmental officer prior to instituting such changes if the revision
will:
(1) Involve transfers of amounts budgeted for indirect costs to
absorb an increase in direct costs;
(2) Involve transfers of amounts budgeted for direct costs to
accommodate changes in indirect cost rates negotiated during a budget
period and not approved when a grant was awarded; or
(3) Involve transfers or expenditures of amounts requiring prior
approval as set forth in the applicable Federal cost principles,
Departmental regulations, or in the grant award.
D. Other Federal Statues 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, subpart A--USDA implementation of the Freedom of
Information Act.
7 CFR Part 3, as amended--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, as amended--USDA Uniform Federal Assistance
Regulations, implementing OMB directives (i.e., Circular Nos. A-21, and
A-122) and incorporating provisions of 31 U.S.C. 6301-6308 (formerly
the Federal Grant and Cooperative Agreement Act of 1977, Pub. L. 95-
224), as well as general policy requirements applicable to recipients
of Departmental financial assistance.
7 CFR Part 3016, as amended--Uniform Administrative Requirements
for Grants and Cooperative Agreements to State and Local Governments.
7 CFR Part 3017--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 new prohibitions and requirements for disclosure and
certification related to lobbying on recipients of Federal contracts,
grants, cooperative agreements, and loans.
7 CFR Part 3019, as amended--USDA implementation of OMB Circular A-
110, Uniform Administrative Requirements for Grants and Other
Agreements With Institutions of Higher Education, Hospitals, and Other
Nonprofit Organizations.
7 CFR Part 3052 (62 FR 45947, August 29, 1997)--USDA implementation
of OMB Circular No. A-133 regarding audits of States, local
governments, and nonprofit organizations.
48 CFR Part 31, as amended--Contract Cost Principles and Procedures
of the Federal Acquisition Regulation.
29 U.S.C. 794, section 504 of the 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 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. Proposals that do not receive a grant will be released to
others only with the consent of the applicant or to the extent required
by law. If such a request is made, the applicant will be consulted
prior to release of the proposal. A proposal may be withdrawn at any
time prior to the final selection action thereon.
F. Evaluation of Program
All grantees shall be expected to assist USDA by providing relevant
information on their respective projects. Applicants also are
encouraged to plan for their own internal self-assessments and
evaluations to measure the effectiveness of each project.
G. Regulatory Information
For the reasons set forth in the final Rule-related Notice to 7 CFR
part 3015, subpart V (48 FR 29115, June 24, 1983), this program is
excluded from the scope of the Executive Order 12372 which requires
intergovernmental consultation with State and local officials.
[[Page 6816]]
Done at Washington, D.C., this 5th day of February 1998.
B. H. Robinson,
Administrator, Cooperative State Research, Education, and Extension
Service.
Robert J. Prchal,
Deputy Administrator for Insurance Services, Risk Management Agency.
Robert J. Prchal,
Acting Manager, Federal Crop Insurance Corporation.
[FR Doc. 98-3419 Filed 2-9-98; 8:45 am]
BILLING CODE 3410-22-P