[Federal Register Volume 66, Number 224 (Tuesday, November 20, 2001)]
[Notices]
[Pages 58312-58323]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-28991]



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Part V





Department of Agriculture





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Cooperative State Research, Education and Extension Service



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Challenge Grants Program: Request for Applications and Request for 
Input; Notice

  Federal Register / Vol. 66 , No. 224 / Tuesday, November 20, 2001 / 
Notices  

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DEPARTMENT OF AGRICULTURE

Cooperative State Research, Education, and Extension Service


Higher Education Challenge Grants Program: Request for 
Applications and Request for Input

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

ACTION: Notice of request for applications and request for input.

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SUMMARY: The Cooperative State Research, Education, and Extension 
Service (CSREES) announces the availability of grant funds and requests 
applications for the Higher Education Challenge Grants Program (HEC) 
for fiscal year (FY) 2002 to stimulate and enable colleges and 
universities to provide the quality of education necessary to produce 
baccalaureate or higher degree level graduates capable of strengthening 
the Nation's food and agricultural scientific and professional work 
force. It is intended that projects supported by the program will: (1) 
Address a State, regional, national, or international educational need; 
(2) involve a creative or nontraditional approach toward addressing 
that need which can serve as a model to others; (3) encourage and 
facilitate better working relationships in the university science and 
education community, as well as between universities and the private 
sector, to enhance program quality and supplement available resources; 
and (4) result in benefits which will likely transcend the project 
duration and USDA support.
    The amount available for support of this program in FY 2002 is 
approximately $4,058,000.
    This notice identifies the objectives for HEC projects, the 
eligibility criteria for projects and applicants, and the application 
forms and associated instructions needed to apply for a HEC grant.
    By this notice, CSREES additionally requests stakeholder input from 
any interested party for use in the development of the next Request for 
Applications (RFA) for this program.

DATES: Applications must be received by close of business (COB) on 
February 11, 2002. (5 p.m. Eastern Time). Applications received after 
this deadline will not be considered for funding. Comments regarding 
this RFA are requested within six months from the issuance of this 
notice. Comments received after that date will be considered to the 
extent practicable.

ADDRESSES: The address for hand-delivered applications or applications 
submitted using an express mail or overnight courier service is: Higher 
Education Challenge Grants Program;
c/o Proposal Services Unit; Cooperative State Research, Education, and 
Extension Service; U.S. Department of Agriculture; Room 1307, 
Waterfront Centre; 800 9th Street, SW.; Washington, DC 20024; 
Telephone: (202) 401-5048.
    Applications sent via the U.S. Postal Service must be sent to the 
following address: Higher Education Challenge Grants Program; c/o 
Proposal Services Unit; Cooperative State Research, Education, and 
Extension Service; U.S. Department of Agriculture; STOP 2245; 1400 
Independence Avenue, SW.; Washington, DC 20250-2245.
    Written stakeholder comments should be submitted by mail to: Policy 
and Program Liaison Staff; Office of Extramural Programs; USDA-CSREES; 
STOP 2299; 1400 Independence Avenue, SW.; Washington, DC 20250-2299; or 
via e-mail to: [email protected]. (This e-mail address is intended 
only for receiving comments regarding this RFA and not requesting 
information or forms.) In your comments, please state that you are 
responding to the Higher Education Challenge Grants Program RFA.

FOR FURTHER INFORMATION CONTACT: Applicants and other interested 
parties are encouraged to contact Mr. P. Gregory Smith; National 
Program Leader; Higher Education Programs, Cooperative State Research, 
Education and Extension Service; 1400 Independence Ave, SW.; STOP 2251; 
Washington, DC 20250-2251; telephone: (202) 720-2211; fax: (202) 720-
2030; email: [email protected].

SUPPLEMENTARY INFORMATION:

Catalog of Federal Domestic Assistance

    This program is listed in the Catalog of Federal Domestic 
Assistance under number 10.217.

Stakeholder Input

    CSREES is requesting comments regarding this RFA from any 
interested party. These comments will be considered in the development 
of the next RFA for the program. Such comments will be used to meet the 
requirements of section 103(c)(2) of the Agricultural Research, 
Extension, and Education Reform Act of 1998 (7 U.S.C. 7613(c)(2)). This 
section requires the Secretary to solicit and consider input on a 
current RFA from persons who conduct or use agricultural research, 
education and extension for use in formulating future RFA's for 
competitive programs. Comments should be submitted as provided for in 
the Addresses and Dates portions of this Notice.

Table of Contents

Part I--General Information

A. Legislative Authority and Background
B. Purpose, Priorities, and Fund Availability
C. Definitions
D. Eligibility
E. Indirect Costs
F. Matching Requirements
G. Funding Restrictions
H. Types of Proposals

Part II--Program Description

A. Project Types
B. Program Area Description

Part III--Preparation of a Proposal

A. Program Application Materials
B. Content of Proposals
C. Submission of Proposals
D. Acknowledgment of Proposals

Part IV--Review Process

A. General
B. Evaluation Criteria
C. Conflicts-of-Interest and Confidentiality

Part V--Grant Awards

A. General
B. Organizational Management Information
C. Grant Award Document and Notice of Grant Award

Part VI--Additional Information

A. Access to Review Information
B. Use of Funds; Changes
C. Expected Program Outputs and Reporting Requirements
D. Applicable Federal Statutes and Regulations
E. Confidential Aspects of Proposals and Awards
F. Regulatory Information

Part I--General Information

A. Legislative Authority and Background

    Authority for this program is contained in section 1417(b)(1) of 
the National Agricultural Research, Extension, and Teaching Policy Act 
of 1977, as amended (NARETPA) (7 U.S.C. 3152(b)(1)). In accordance with 
the statutory authority, subject to the availability of funds, the 
Secretary of Agriculture, who has delegated the authority to the 
Administrator of CSREES, may make competitive grants, for a period not 
to exceed 5 years, to land-grant colleges and universities, to colleges 
and universities having significant minority enrollments and a 
demonstrable capacity to carry out the teaching of food and 
agricultural sciences, and to other colleges and universities having a 
demonstrable capacity to carry out the teaching of food and 
agricultural sciences, to administer and conduct programs to

[[Page 58313]]

respond to identified State, regional, national or international 
educational needs in the food and agricultural sciences. For this 
program, the term ``food and agricultural sciences'' means basic, 
applied, and developmental teaching activities in food and fiber, 
agricultural, renewable natural resources, forestry, and physical and 
social sciences, and including related disciplines as defined in 
section 1404(8) of NARETPA, 7 U.S.C. 3103(8).

B. Purpose, Priorities, and Fund Availability

    The HEC program supports projects related to strengthening 
undergraduate teaching programs in any subject matter area(s) in the 
food and agricultural sciences. A proposal may address a single 
targeted need area or multiple targeted need areas, and may be focused 
on a single subject matter area or multiple subject matter areas, in 
any combination (e.g., curriculum development in horticulture; 
curriculum development, faculty enhancement, and student experiential 
learning in animal science; faculty enhancement in food science and 
agribusiness management; or instruction delivery systems and student 
experiential learning in plant science, horticulture, and entomology). 
Please note that one of these Need Areas must be indicated in the 
appropriate space on the Project Summary Form (Form CSREES-2003) in the 
proposal application forms package.
    For FY 2002, targeted need areas consist of one or more of the 
following:
(a) Curricula Design and Materials Development
    The purpose of this initiative is to promote new and improved 
curricula and materials to increase the quality of, and continuously 
renew, the Nation's academic programs in the food and agricultural 
sciences. The overall objective is to stimulate the development and 
facilitate the use of exemplary education models and materials that 
incorporate the most recent advances in subject matter, research on 
teaching and learning theory, and instructional technology. Proposals 
may emphasize: the development of courses of study, degree programs, 
and instructional materials; the use of new approaches to the study of 
traditional subjects; or the introduction of new subjects, or new 
applications of knowledge, pertaining to the food and agricultural 
sciences. Examples include, but are not limited to, curricula and 
materials that promote: raising the level of scholastic achievement of 
the Nation's graduates in the food and agricultural sciences, 
addressing the special needs of particular groups of students, such as 
minorities, gifted and talented, or those with educational backgrounds 
that warrant enrichment, using alternative instructional strategies or 
methodologies, including computer-assisted instruction or simulation 
modeling, media programs that reach large audiences efficiently and 
effectively, activities that provide hands-on learning experiences, and 
educational programs that extend learning beyond the classroom, using 
sound pedagogy, particularly with regard to recent research on how to 
motivate students to learn, retain, apply, and transfer knowledge, 
skills, and competencies, and building student competencies to 
integrate and synthesize knowledge from several disciplines.
(b) Faculty Preparation and Enhancement for Teaching
    The purpose of this initiative is to advance faculty development in 
the areas of teaching competency, subject matter expertise, or student 
recruitment and advising skills. Teachers are central to education. 
They serve as models, motivators, and mentors--the catalysts of the 
learning process. Moreover, teachers are agents for developing, 
replicating, and exchanging effective teaching materials and methods. 
For these reasons, education can be strengthened only when teachers are 
adequately prepared, highly motivated, and appropriately recognized and 
rewarded.
    Each faculty recipient of support for developmental activities must 
be an ``eligible participant'' as defined in this RFA. Examples of 
developmental activities include, but are not limited to, those which 
enable teaching faculty to: Gain experience with recent developments or 
innovative technology relevant to their teaching responsibilities, work 
under the guidance and direction of experts who have substantial 
expertise in an area related to the developmental goals of the project, 
work with scientists or professionals in government, industry, or other 
colleges or universities to learn new applications in a field, obtain 
personal experience working with new ideas and techniques, expand 
competence with new methods of information delivery, such as computer-
assisted or televised instruction, or increase understanding of the 
special needs of non-traditional students or students from groups that 
are underrepresented in the food and agricultural sciences workforce.
(c) Instruction Delivery Systems
    The purpose of this initiative is to encourage the use of 
alternative methods of delivering instruction to enhance the quality, 
effectiveness, and cost efficiency of teaching programs. The importance 
of this initiative is evidenced by advances in educational research 
which have substantiated the theory that differences in the learning 
styles of students often require alternative instructional 
methodologies. Also, the rising costs of higher education strongly 
suggest that colleges and universities undertake more efforts of a 
collaborative nature in order to deliver instruction which maximizes 
program quality and reduces unnecessary duplication. At the same time, 
advancements in knowledge and technology continue to introduce new 
subject matter areas which warrant consideration and implementation of 
innovative instruction techniques, methodologies, and delivery systems. 
Examples include, but are not limited to: Use of computers, 
teleconferencing, networking via satellite communications, 
regionalization of academic programs, mobile classrooms and 
laboratories, individualized learning centers, or symposia, forums, 
regional or national workshops, etc.
(d) Student Experiential Learning
    The purpose of this initiative is to further the development of 
student scientific and professional competencies through experiential 
learning programs which provide students with opportunities to solve 
complex problems in the context of real-world situations. Effective 
experiential learning is essential in preparing future graduates to 
advance knowledge and technology, enhance quality of life, conserve 
resources, and revitalize the Nation's economic competitiveness. Such 
experiential learning opportunities are most effective when they serve 
to advance decision-making and communication skills as well as 
technological expertise. Examples include, but are not limited to, 
projects which: Provide opportunities for students to participate in 
research projects, either as a part of an ongoing research project or 
in a project designed especially for this program, provide 
opportunities for students to complete apprenticeships, internships, or 
similar participatory learning experiences, expand and enrich courses 
which are of a practicum nature, or provide career mentoring 
experiences that link students with outstanding professionals.
    There is no commitment by USDA to fund any particular application 
or to

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make a specific number of awards. Approximately $4,058,000 will be 
available to fund applications in FY 2002.

C. Definitions

    For the purpose of this program, the following definitions are 
applicable:
    Authorized departmental officer means the Secretary or any employee 
of the Department with delegated authority to issue or modify grant 
instruments on behalf of the Secretary.
    Authorized organizational representative means the president or 
chief executive officer of the applicant organization or the official, 
designated by the president or chief executive officer of the applicant 
organization, who has the authority to commit the resources of the 
organization.
    Budget period means the interval of time (usually 12 months) into 
which the project period is divided for budgetary and reporting 
purposes.
    Cash contributions means the applicant's cash outlay, including the 
outlay of money contributed to the applicant by non-Federal third 
parties.
    Citizen or national of the United States means:
    (1) A citizen or native resident of a State; or,
    (2) A person defined in the Immigration and Nationality Act, 8 
U.S.C. 1101(a)(22), who, though not a citizen of the United States, 
owes permanent allegiance to the United States.
    When eligibility is claimed solely on the basis of permanent 
allegiance, documentary evidence from the Immigration and 
Naturalization Service as to such eligibility must be made available to 
CSREES upon request.
    College or University means an educational institution in any State 
which:
    (1) Admits as regular students only persons having a certificate of 
graduation from a school providing secondary education, or the 
recognized equivalent of such a certificate;
    (2) Is legally authorized within such State to provide a program of 
education beyond secondary education;
    (3) Provides an educational program for which an associate degree 
or any other higher degree is awarded;
    (4) Is a public or other nonprofit institution; and
    (5) Is accredited by a nationally recognized accrediting agency or 
association, or if not so accredited, is an institution that has been 
granted pre-accreditation status by such an agency or association that 
has been recognized by the Secretary of Education for the granting of 
pre-accreditation status, and the Secretary of Education has determined 
that there is satisfactory assurance that the institution will meet the 
accreditation standards of such an agency or association within a 
reasonable time.
    Complementary project proposal means a proposal for a project which 
involves coordination with one or more other projects for which funding 
was awarded under this program in a previous fiscal year, or for which 
funding is requested under this program in the current fiscal year.
    Department or USDA means the United States Department of 
Agriculture.
    Eligible institution means an institution of higher education:
    (1) That has an enrollment of needy students as defined in this 
section;
    (2) Except if waived by the Secretary of Education, the average 
educational and general expenditures of which are low, per full-time 
equivalent undergraduate student, in comparison with the average 
educational and general expenditures per full-time equivalent 
undergraduate student of institutions that offer similar instruction;
    (3) That is legally authorized to provide, and provides within the 
State, an educational program for which the institution awards a 
bachelor's degree; or that is a junior or community college as defined 
in this section;
    (4) That is accredited by a nationally recognized accrediting 
agency or association determined by the Secretary of Education to be a 
reliable authority as to the quality of training offered or that is, 
according to such an agency or association, making reasonable progress 
toward accreditation;
    (5) That meets such other requirements as the Secretary of 
Education may prescribe; and
    (6) That is located in a State.
    The term eligible institution also applies to any branch of any 
institution of higher education, described by the definition of an 
eligible institution, that by itself satisfies the requirements 
contained in clauses (1) and (2) of the definition of an eligible 
institution.
    For purposes of determinating whether an institution is an eligible 
institution, the factor described under clause (1) of the definition of 
an eligible institution shall be given twice the weight of the factor 
described under clause (2) of the definition of an eligible 
institution.
    Eligible participant means an individual who: (1) Is a citizen or 
national of the United States, as defined in this section; or (2) is a 
citizen of the Federated States of Micronesia, the Republic of the 
Marshall Islands, or the Republic of Palau. Where eligibility is 
claimed on the basis of owing permanent allegiance to the United 
States, documentary evidence from the Immigration and Naturalization 
Service as to such eligibility must be made available to USDA upon 
request.
    Food and agricultural sciences means basic, applied, and 
developmental research, extension, and teaching activities in the food 
and fiber, agricultural, renewable natural resources, forestry, and 
physical and social sciences, in the broadest sense of these terms, 
including but not limited to, activities relating to the production, 
processing, marketing, distribution, conservation, utilization, 
consumption, research, and development of food and agriculturally 
related products and services, and inclusive of programs in 
agriculture, natural resources, aquaculture, forestry, veterinary 
medicine, home economics, rural human ecology, and closely allied 
disciplines.
    Grantee means the organization designated in the grant award 
document as the responsible legal entity to which a grant is awarded.
    Joint project proposal means a proposal for a project, which will 
involve the applicant institution and two or more other colleges, 
universities, community colleges, junior colleges, or other 
institutions, each of which will assume a major role in the conduct of 
the proposed project, and for which the applicant institution will 
transfer at least one-half of the awarded funds to the other 
institutions participating in the project. Only the applicant 
institution must meet the definition of ``eligible institution''; the 
other institutions participating in a joint project proposal are not 
required to meet the definition of ``eligible institution'', nor 
required to meet the definition of ``college'' or ``university''.
    Land-grant colleges and universities means those institutions 
eligible to receive funds under the Act of July 2, 1862 (12 Stat. 503-
505, as amended; 7 U.S.C. 301-305, 307 and 308), or the Act of August 
30, 1890 (26 Stat. 417-419, as amended; 7 U.S.C. 321-326 and 328), 
including Tuskegee University.
    Matching or Cost-sharing means that portion of allowable project 
costs not borne by the Federal Government, including the value of in-
kind contributions.
    Peer reviewers means experts or consultants qualified by training 
and experience to give expert advice on the scientific and technical 
merit of grant applications or the relevance of those applications to 
one or more of the

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proposal evaluation criteria. Peer reviewers may be ad hoc or convened 
as a panel.
    Prior approval means written approval evidencing prior consent by 
an authorized departmental officer.
    Project means the particular activity within the scope of the 
program supported by a grant award.
    Project director means the single individual designated by the 
grantee in the grant application and approved by the Authorized 
Departmental Officer who is responsible for the direction and 
management of the project [also known as a principal investigator for 
research activities].
    Project period means the total length of time, as stated in the 
award document and modifications thereto, if any, during which Federal 
sponsorship begins and ends.
    Secretary means the Secretary of Agriculture and any other officer 
or employee of the Department to whom the authority involved may be 
delegated.
    State means any one of the fifty States, the Commonwealth of Puerto 
Rico, Guam, American Samoa, the Commonwealth of the Northern Marianas, 
the Virgin Islands of the United States, and the District of Columbia.
    Teaching means formal classroom instruction, laboratory 
instruction, and practicum experience in the food and agricultural 
sciences and matters related thereto (such as faculty development, 
student recruitment and services, curriculum development, instructional 
materials and equipment, and innovative teaching methodologies) 
conducted by colleges and universities offering baccalaureate or higher 
degrees.
    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 benefitting and specifically identifiable to a funded project 
or program.
    United States means the several States, the territories and 
possessions of the United States, the Commonwealth of Puerto Rico, 
Guam, American Samoa, the Commonwealth of the Northern Marianas, the 
Virgin Islands of the United States, and the District of Columbia.

D. Eligibility

    Applications may be submitted by land-grant colleges and 
universities and other U.S. public or private nonprofit colleges and 
universities offering a baccalaureate degree or any other higher degree 
and having a demonstrable capacity for, and a significant ongoing 
commitment to, the teaching of food and agricultural sciences generally 
and to the specific need and/or subject area(s) for which a grant is 
requested.
    For FY 2002, this program supports projects related to 
strengthening undergraduate teaching programs in any subject matter 
area(s) in the food and agricultural sciences.
    For FY 2002, a maximum of two grants may be awarded to an 
institution eligible under this program. This ceiling excludes any 
subcontracts awarded to an institution pursuant to other grants issued 
under this program.
    In addition, a grantee institution must meet the definition of a 
college or university as defined in this RFA. An institution eligible 
to receive an award under this program includes a research foundation 
maintained by an eligible college or university. For the purposes of 
this program, the individual branches of a State university system or 
public system of higher education that are separately accredited at the 
college level as degree granting institutions, are treated as separate 
institutions. Award recipients may subcontract to organizations not 
eligible to apply provided such organizations are necessary for the 
conduct of the project.

E. Indirect Costs

    Pursuant to section 1462 of NARETPA, 7 U.S.C. 3310, indirect costs 
charged against a competitive grant under this program may not exceed 
19 percent of the total Federal funds provided under the grant award. 
An alternative method of calculation of this limitation is to multiply 
total direct costs by 23.456 percent. Note that the indirect cost limit 
of 19 percent also applies to matching funds.

F. Matching Requirements

    A grant recipient is required to match the USDA funds awarded on a 
dollar-for-dollar basis from non-Federal sources. (See Part III. B. 12. 
c.)

G. Funding Restrictions

    Under the Higher Education Challenge Grants Program, the use of 
grant funds to plan, acquire, or construct a building or facility is 
not allowed. With prior approval, in accordance with the cost 
principles set forth in OMB Circular No. A-21, some grant funds may be 
used for minor alterations, renovations, or repairs deemed necessary to 
retrofit existing teaching spaces in order to carry out a funded 
project. However, requests to use grant funds for such purposes must 
demonstrate that the alterations, renovations, or repairs are 
incidental to the major purpose for which a grant is made.
    There is no limit on the number of proposals any one institution 
may submit. In addition, there is no limit on the number of proposals 
which may be submitted on behalf of the same school, college, or 
equivalent administrative unit within an institution.

H. Types of Applications

    In FY 2002, applications may be submitted to the HEC as one of the 
following two types of requests:
    (1) New application. This is a project application that has not 
been previously submitted to the HEC Program. All new applications will 
be reviewed competitively using the selection process and evaluation 
criteria described in Part IV--Review Process.
    (3) Resubmitted application. This is an application that had 
previously been submitted to the HEC Program but not funded. Project 
Directors (PD's) must respond to the previous review panel summary (see 
Response to Previous Review, Part III.B.5). Resubmitted applications 
must be received by the relevant due dates, will be evaluated in 
competition with other pending applications in appropriate area to 
which they are assigned, and will be reviewed according to the same 
evaluation criteria as new applications.

Part II--Program Description

A. Project Types

    For FY 2002, the maximum total funds that may be awarded to an 
applicant under this program are $100,000 for a regular submission and 
$250,000 for a joint submission, as defined in this RFA.
    A funded project period should be no less than eighteen(18) months 
and no more than thirty-six (36) months.

B. Program Area Description

    The HEC Program supports projects in any discipline of the food and 
agricultural sciences education. Applicants should select one of the 
following codes which best describes the major academic discipline 
addressed by the proposal. Enter this code where indicated under 
discipline on the Project Summary Form (Form CSREES-2003) in the 
proposal application forms package:

------------------------------------------------------------------------
                  Discipline                              Code
------------------------------------------------------------------------
General Food and Agricultural Sciences         G
 (includes multidisciplinary, institution-
 wide projects).
Agribusiness Management and Marketing          M
 (includes Agricultural Economics).

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Agriscience (includes Agricultural/Biological  E
 Engineering),.
Agricultural Social Sciences (includes         S
 Agricultural Education, Agricultural
 Communications, and Rural Sociology).
Animal Sciences..............................  A
Aquaculture..................................  Q
Conservation and Renewable Natural Resources   C
 (includes Forestry and Ecology/Wetlands).
Entomology--Animal...........................  J
Entomology--Plant............................  T
Environmental Sciences/Management............  L
Food Science/Technology and Manufacturing      F
 (including Food Safety).
Human Nutrition..............................  N
Family and Consumer Sciences (excludes Human   H
 Nutrition).
International Education/Research (enhancement  I
 of U.S. programs).
Plant Sciences and Horticulture (including     P
 Turf Sciences).
Related Biological Sciences (includes General/ B
 Basic Biotechnology, Biochemistry, and
 Microbiology).
Soil Sciences................................  D
Veterinary Medicine/Science..................  V
(W) Water Science/Water Resources (including   W
 Water Quality and Watershed Management).
Other (and explain)..........................  O
------------------------------------------------------------------------

Part III--Preparation of an Application

A. Program Application Materials

    Program application materials are available at the CSREES Funding 
Opportunities web site (http://www.reeusda.gov/1700/funding/ourfund.htm). If you do not have access to the web page or have trouble 
downloading material and you would like a hardcopy, you may contact the 
Proposal Services Unit, Office of Extramural Programs, USDA/CSREES at 
(202) 401-5048. When calling the Proposal Services Unit, please 
indicate that you are requesting the RFA and associated application 
forms for the Higher Education Challenge Grants Program. These 
materials also may be requested via Internet by sending a message with 
your name, mailing address (not e-mail) and phone number to 
[email protected]. State that you want a copy of the RFA and the 
associated application forms for Higher Education Challenge Grants 
Program.

B. Content of Applications

1. General
    Use the following guidelines to prepare an application. Proper 
preparation of applications will assist reviewers in evaluating the 
merits of each application in a systematic, consistent fashion:
    (a) Prepare the application on only one side of the page using 
standard size (8 1/2'' x 11'') white paper, one-inch margins, typed or 
word processed using no type smaller than 12 point font, and single or 
double spaced. Use an easily readable font face (e.g., Geneva, 
Helvetica, Times Roman).
    (b) Number each page of the application sequentially, starting with 
the Project Description, including the budget pages, required forms, 
and any appendices.
    (c) Staple the application in the upper left-hand corner. Do not 
bind. An original and five (5) copies (six (6) total) must be submitted 
in one package, along with two (2) additional copies of the ``Project 
Summary,'' Form CSREES-2003, as a separate attachment.
    (d) Include original illustrations (photographs, color prints, 
etc.) in all copies of the application to prevent loss of meaning 
through poor quality reproduction.
    (e) The contents of the application should be assembled in the 
following order:

(1) Proposal Cover Page (Form CSREES-2002)
(2) Table of Contents
(3) Project Summary (Form CSREES-2003)
(4) Response to Previous Review
(5) Project Description
(6) References
(7) Appendices to Project Description
(8) Key Personnel
(9) Collaborative Arrangements (including Letters of Support)
(10) Conflict-of-Interest List (Form CSREES-2007)
(11) Budget (Form CSREES-2004)
(12) Budget Narrative
(13) Matching
(14) Current and Pending Support (Form CSREES-2005)
(15) Assurance Statement(s) (Form CSREES-2008)
(16) Compliance with the National Environmental Policy Act (NEPA) (Form 
CSREES-2006)
(17) Page B, Proposal Cover Page (Form
    CSREES-2002), Personal Data on Project Director
2. Proposal Cover Page (Form CSREES-2002)
a. Page A
    Each copy of each grant application must contain a ``Proposal Cover 
Page'', Form CSREES-2002. One copy of the application, preferably the 
original, must contain the pen-and-ink signature(s) of the proposing 
PD's and the authorized organizational representative (AOR), the 
individual who possesses the necessary authority to commit the 
organization's time and other relevant resources to the project. If 
there are more than four co-PD's for an application, please list 
additional co-PD's on a separate sheet of paper (with appropriate 
information and signature) and attach to the Proposal Cover Page (Form 
CSREES-2002). Any proposed PD or co-PD whose signature does not appear 
on Form CSREES-2002 or attached additional sheets will not be listed on 
any resulting grant award. Complete both signature blocks located at 
the bottom of the ``Proposal Cover Page'' form. Please note that Form 
CSREES-2002 is comprised of two parts--Page A which is the ``Proposal 
Cover Page'' and Page B which is the ``Personal Data on Project 
Director.''
    Form CSREES-2002 serves as a source document for the CSREES grant 
database; it is therefore important that it be accurately completed in 
its entirety, especially the e-mail addresses requested in blocks 4.c. 
and 18.c. However, the following items are highlighted as having a high 
potential for errors or misinterpretations:
    (a) Type of Performing Organization (Block 6A and 6B). For block 
6A, a check should be placed in the appropriate box to identify the 
type of organization which is the legal recipient named in block 1. 
Only one box should be checked. For block 6B, please check as many 
boxes that apply to the affiliation of the PD listed in block 16.
    (b) Title of Proposed Project (Block 7). The title of the project 
must be brief (140-character maximum, including spaces), yet represent 
the major thrust of the effort being proposed. Project titles are read 
by a variety of nonscientific people; therefore, highly technical words 
or phraseology should be avoided where possible. In addition, 
introductory phrases such as ``investigation of,'' ``research on,'' 
``education for,'' or ``outreach that'' should not be used.
    (c) Program to Which You Are Applying (Block 8). Enter Higher 
Education Challenge Grants Program.
    (d) Type of Request (Block 14). Check the block for ``New'', or 
``Resubmitted'' (note that the other award types are not supported by 
this program).
    (e) Project Director (PD) (Blocks 16-19). Blocks 16-18 are used to 
identify the PD and Block 19 to identify co-PD's. If needed, additional 
co-PD's may be listed on a separate sheet of paper and attached to Form 
CSREES-2002, the Proposal Cover Page, with the applicable co-PD 
information and signatures. Listing multiple co-PD's, beyond those 
required for genuine collaboration, is discouraged.
    (f) Other Possible Sponsors (Block 21). List the names or acronyms 
of all other

[[Page 58317]]

public or private sponsors including other agencies within USDA to 
which your application has been or might be sent. In the event you 
decide to send your application to another organization or agency at a 
later date, you must inform the identified CSREES program contact as 
soon as practicable. Submitting your application to other potential 
sponsors will not prejudice its review by CSREES; however, submitting 
the same (i.e., duplicate) application to another CSREES program is not 
permissible.
b. Page B
    Page B should be submitted only with the original signature copy of 
the application and should be placed as the last page of the original 
copy of the application. This page contains personal data on the PD(s). 
CSREES requests this information in order to monitor the operation of 
its review and awards processes. This page will not be duplicated or 
used during the review process. Please note that failure to submit this 
information will in no way affect consideration of your application.
    3. Table of Contents
    For consistency and ease in locating information, each application 
must contain a detailed Table of Contents immediately following the 
proposal cover page. The Table of Contents should contain page numbers 
for each component of the application. Page numbering should begin with 
the first page of the Project Description.
4. Project Summary (Form CSREES-2003)
    The application must contain a ``Project Summary,'' Form CSREES-
2003. The summary should be approximately 250 words, contained within 
the box, placed immediately after the Table of Contents, and not 
numbered. The names and affiliated organizations of all PD's and co-
PD's should be listed on this form, in addition to the title of the 
project. The summary should be a self-contained, specific description 
of the activity to be undertaken and should focus on: Overall project 
goal(s) and supporting objectives; plans to accomplish project goal(s); 
measurable anticipated project outcomes or products; and relevance of 
the project to the goals of the HEC Program. The importance of a 
concise, informative Project Summary cannot be overemphasized. If there 
are more than four co-PD's for an application, please list additional 
co-PD's on a separate sheet of paper (with appropriate information) and 
attach to the Project Summary (Form CSREES-2003).
5. Response to Previous Review
    If the proposal is a resubmission, Project Directors (PDs) must 
respond to the previous panel summary on no more than one page, titled 
``RESPONSE TO PREVIOUS REVIEW''. In this section, a clear statement 
acknowledging comments from the previous reviewers, indicating 
revisions, rebuttals, etc., that can positively influence the review of 
the proposal should be made. Further, the resubmitted proposal should 
clearly indicate changes that have been made in the Project 
Description. Resubmitted proposals will be reviewed competitively using 
the selection process and evaluation criteria described in Part IV--
Review Process.
    This requirement only applies to ``Resubmitted Applications'' and 
``Resubmitted Renewal Applications'' as described under Part I, H, 
``Types of Applications.'' Project Directors (PD's) must respond to the 
previous review panel summary on no more than one page, titled 
``RESPONSE TO PREVIOUS REVIEW,'' which is to be placed directly after 
the ``Project Summary,'' Form CSREES-2003.
6. Project Description
    Please Note: The Project Description shall not exceed twenty (20) 
pages of written text and up to five (5) additional pages for figures 
and tables. This maximum (25 pages) has been established to ensure fair 
and equitable competition. (Note: to facilitate proposal review and 
evaluation, the applicant is advised to include the following 
underlined wording as headings in the proposal narrative, followed by 
the applicant's response for each item.) The Project Description must 
include all of the following:
(1) Potential for Advancing the Quality of Education
    (a) Identification of Targeted Need Area(s). Clearly identify and 
explain the proposed project's Targeted Need Area(s) from those 
described in Part I. B. of this RFA.
    (b) Project Justification. Clearly state the specific instructional 
problem or opportunity to be addressed. Describe how and by whom the 
focus and scope of the project were determined. Summarize the body of 
knowledge which substantiates the need for the proposed project. 
Discuss how the project will be of value at the State, regional, 
national, or international level(s). Describe any ongoing or recently 
completed significant activities related to the proposed project for 
which previous funding was received under this program.
    (c) Innovation. Describe the proposal's creative approach to 
improving the quality of food and agricultural sciences higher 
education.
    (d) Multidisciplinary focus. Indicate where the project is relevant 
to multiple disciplines in the food and agricultural sciences or with 
other academic curricula. Also, discuss whether the project may be 
adapted by, or serve as a model for, other institutions.
(2) Proposed Approach
    (a) Objectives. Cite and discuss the specific project objectives to 
be accomplished.
    (b) Plan of operation. Describe procedures for accomplishing the 
objectives of the project.
    (c) Time line. Identify all important project milestones and dates 
as they relate to project start-up, execution, evaluation, 
dissemination, and close-out.
    (d) Evaluation plans. Provide a plan for evaluating the 
accomplishment of stated objectives, products and outcomes during the 
conduct of the project. Indicate the criteria, and corresponding weight 
of each, to be used in the evaluation process, describe any data to be 
collected and analyzed, and explain the methodology that will be used 
to determine the extent to which the needs underlying the project are 
met. Demonstrate that the project's impact on improving education will 
be evaluated.
    (e) Dissemination plans. Discuss the commitment to disseminate 
project results and products. Identify target audiences and explain 
methods of communication.
    (f) Products, results and measurable outcomes. Explain the expected 
products, results, and their potential impact (outcome) on 
strengthening food and agricultural sciences higher education in the 
United States.
    (g) Partnerships and collaborative efforts. Explain how the project 
will maximize partnership ventures and collaborative efforts to 
strengthen food and agricultural sciences higher education (e.g., 
involvement of faculty in related disciplines at the same institution, 
joint projects with other colleges or universities, or cooperative 
activities with business or industry). Also explain how it will 
stimulate academia, the States, or the private sector to join with the 
Federal partner in enhancing food and agricultural sciences higher 
education. Provide evidence, via letters from the parties involved, 
that arrangements necessary for collaborative partnerships or joint 
initiatives have been discussed and realistically can be expected to 
come to

[[Page 58318]]

fruition, or actually have been finalized contingent on an award under 
this program. Letters must be signed by an official who has the 
authority to commit the resources of the organization. Such letters 
should be referenced in the Project Description, but the actual letters 
should be included in the Appendix section of the proposal. Any 
potential conflict(s) of interest that might result from the proposed 
collaborative arrangements must be discussed in detail.
(3) Key Personnel
    In addition to the required separate vitae for each PD, discuss the 
specific attributes and project responsibilities of each key person 
associated with the project.
(4) Institutional commitment and resources
    (a) Institutional commitment. Discuss the institution's commitment 
to the project. Discuss how the benefits to be derived from the project 
will transcend the applicant institution or the grant period. For 
example, substantiate that the institution attributes a high priority 
to the project, discuss how the project will contribute to the 
achievement of the institution's long-term (five- to ten-year) goals, 
explain how the project will help satisfy the institution's high-
priority objectives, or show how this project is linked to and 
supported by the institution's strategic plan.
    (b) Institutional resources. Document the commitment of 
institutional resources to the project, and show that the institutional 
resources to be made available to the project, when combined with the 
support requested from USDA, will be adequate to carry out the 
activities of the project. Discuss institutional facilities, equipment, 
computer services, and other appropriate resources available to the 
project.
    (c) Continuation plans. Discuss the likelihood of, or plans for, 
continuation or expansion of the project beyond USDA support. For 
example, does the institution's long-range budget or academic plan 
provide for the realistic continuation or expansion of the initiative 
undertaken by this project after the end of the grant period, are plans 
for eventual self-support built into the project, are plans being made 
to institutionalize the program if it meets with success, and are there 
indications of other continuing non-Federal support?
(5) Budget and Cost-Effectiveness
    (a) Budget. In addition to the separate required budget page and 
budget narrative forms, discuss how the budget specifically supports 
the proposed project activities. Explain how such budget items as 
professional or technical staff time and salary, travel, equipment, 
etc., are necessary and reasonable to achieve project objectives. 
Justify that the total budget, including funds requested from USDA and 
any matching support provided, are allocated between the applicant and 
any collaborating institution, and will be adequate to carry out the 
activities of the project. Provide a summary of sources and amounts of 
all third party matching support.
    (b) Cost-effectiveness. Justify the project's cost-effectiveness. 
Show how the project maximizes the use of limited resources, optimizes 
educational value for the dollar, achieves economies of scale, or 
leverages additional funds. For example, discuss how the project has 
the potential to generate a critical mass of expertise and activity 
focused on a targeted need area, or to promote coalition building that 
could lead to future ventures.
7. References
    All references to works cited should be complete, including titles 
and all co-authors, and should conform to an acceptable journal format. 
References are not considered in the page-limitation for the Project 
Description.
8. Appendices to Project Description
    Appendices to the Project Description are allowed if they are 
directly germane to the proposed project. The addition of appendices 
should not be used to circumvent the text and/or figures and tables 
page limitations.
9. Key Personnel
    The following should be included, as applicable:
    (a) The roles and responsibilities of each PD and/or collaborator 
should be clearly described; and
    (b) Vitae of the PD and each co-PD, senior associate, and other 
professional personnel. This section should include vitae of all key 
persons who are expected to work on the project, whether or not CSREES 
funds are sought for their support. The vitae should be limited to two 
(2) pages each in length, excluding publications listings. The vitae 
should include a presentation of academic and research credentials, as 
applicable, e.g., earned degrees, teaching experience, employment 
history, professional activities, honors and awards, and grants 
received. A chronological list of all publications in refereed journals 
during the past four (4) years, including those in press, must be 
provided, as applicable, for each project member for whom a curriculum 
vitae is provided. Also list only those non-refereed technical 
publications that have relevance to the proposed project. All authors 
should be listed in the same order as they appear on each paper cited, 
along with the title and complete reference as these usually appear in 
journals.
10. Collaborative Arrangements
    If it will be necessary to enter into formal consulting or 
collaborative arrangements with others, such arrangements should be 
fully explained and justified. If the consultant(s) or collaborator(s) 
are known at the time of application, a vitae or resume should be 
provided. In addition, evidence (e.g., letter of support) should be 
provided that the collaborators involved have agreed to render these 
services. The applicant also will be required to provide additional 
information on consultants and collaborators in the budget portion of 
the application. See instructions in the application forms for 
completing Form CSREES-2004, Budget.
11. Conflict-of-Interest List (Form CSREES-2007)
    A ``Conflict-of-Interest List,'' Form CSREES-2007, must be provided 
for all individuals who have submitted a vitae in response to item 
9.(b) of this part. Each Form CSREES-2007 should list alphabetically, 
by the last names, the full names of the individuals in the following 
categories: (a) All co-authors on publications within the past four 
years, including pending publications and submissions; (b) all 
collaborators on projects within the past four years, including current 
and planned collaborations; (c) all thesis or postdoctoral advisees/
advisors within the past four years; and (d) all persons in your field 
with whom you have had a consulting or financial arrangement within the 
past four years, who stand to gain by seeing the project funded. This 
form is necessary to assist program staff in excluding from application 
review those individuals who have conflicts of interest with the 
personnel in the grant application. The program contact must be 
informed of any additional conflicts of interest that arise after the 
application is submitted.

[[Page 58319]]

12. Budget (Form CSREES-2004)
a. General
(1) Budget Form
Prepare the Budget, Form CSREES-2004, in accordance with instructions 
provided with the application forms. A budget form is required for each 
year of requested support. In addition, a cumulative 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 statutes, regulations, and 
Federal cost principles, and these program guidelines, and can be 
justified as necessary for the successful conduct of the proposed 
project. Applicants also must include a budget narrative to justify 
their budget requests (see section b. below.)
(2) Matching
    Contributions toward the match from the institution should be 
identified in the column ``Non-Federal Proposed Cost Sharing/Matching 
Funds'' on the Budget Form (Form CSREES-2004). Cash contributions of 
the institution and third parties as well as non-cash contributions 
should be identified on Line P., as appropriate, of Form CSREES-2004 
and described in the budget narrative. Any cost sharing commitments 
specified in the proposal will be referenced and included as a 
condition of an award resulting from this announcement. Any cost 
sharing commitments to the proposed grant must have a signed letter 
from the committing organization's Authorized Organizational 
Representative (AOR) and countersigned by the recipient's AOR. The 
letter must state the total dollar amount intended for the proposed 
project and whether the contribution is cash or in-kind. If the 
contribution is to be split between cash and in-kind, the exact dollar 
amount for each category must be clearly stated. The contribution 
should also clearly state the budget categories that the contributed 
dollars should be applied to and clearly state the individual items of 
in-kind contributions.
b. Budget Narrative
    All budget categories, with the exception of Indirect Costs, for 
which support is requested, must be individually listed (with costs) in 
the same order as the budget and justified on a separate sheet of paper 
and placed immediately behind the Budget form.
c. Matching Funds
    Proposals should 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 AORs 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 AORs 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 third party in-kind contribution; and (5) a statement that 
the donor will make the contribution during the grant period.
    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 Narrative. All 
pledge agreements must be placed in the proposal immediately following 
the summary of matching support.
    The value of applicant contributions to the project shall be 
established in accordance with applicable cost principles. Applicants 
should refer to OMB Circular A-21, Cost Principles for Educational 
Institutions, for further guidance and other requirements relating to 
matching and allowable costs. Contributions toward the match from the 
institution should be identified in the column ``Non-Federal Proposed 
Cost Sharing/Matching Funds'' on the Budget Form (Form CSREES-2004).
    Any cost sharing commitments specified in the proposal will be 
referenced and included as a condition of an award resulting from this 
announcement.
13. Current and Pending Support (Form CSREES-2005)
    All applications must contain Form CSREES-2005 listing other 
current public or private support (including in-house support) to which 
personnel (i.e., individuals submitting a vitae in response to item 
9.(b) of this part) identified in the application have committed 
portions of their time, whether or not salary support for person(s) 
involved is included in the budget. Please follow the instructions 
provided on this form. Concurrent submission of identical or similar 
applications to the possible sponsors will not prejudice application 
review or evaluation by the CSREES. However, an application that 
duplicates or overlaps substantially with an application already 
reviewed and funded (or to be funded) by another organization or agency 
will not be funded under this program. Please note that the project 
being proposed should be included in the pending section of the form.
14. Assurance Statement(s) (Form CSREES-2008)
    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, 
applications involving any of the following elements must comply with 
the additional requirements as applicable.
a. Recombinant DNA or RNA Research
    As stated in 7 CFR part 3015.205(b)(3), all key personnel 
identified in the application 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, you must so 
indicate by checking the ``yes'' box in Block 20 of Form CSREES-2002 
(the Proposal Cover Page) and by completing Section A of Form CSREES-
2008. For applicable applications recommended for funding, 
Institutional Biosafety Committee approval is required before CSREES 
funds will be released. Please refer to the application forms for 
further instructions.
b. 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 
personnel identified in an application

[[Page 58320]]

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, you should check ``yes'' in 
block 20 of Form CSREES-2002 and complete Section B of Form CSREES-
2008. 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. 
Please refer to the application forms for further instructions.
c. 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 in your 
project, you should check the ``yes'' box in Block 20 of Form CSREES-
2002 and complete Section C of Form CSREES-2008. Please refer to the 
application forms for additional instructions.
15. Certifications
    Note that by signing Form CSREES-2002 the applicant is providing 
the certifications required by 7 CFR part 3017, regarding Debarment and 
Suspension and Drug-Free Workplace, and 7 CFR part 3018, regarding 
Lobbying. The certification forms are included in the application 
package for informational purposes only. These forms should not be 
submitted with the application since by signing Form CSREES-2002 your 
organization is providing the required certifications. If the project 
will involve a subcontractor or consultant, the subcontractor/
consultant should submit a Form AD-1048, Certification Regarding 
Debarment, Suspension, Ineligibility and Voluntary Exclusion--Lower 
Tier Covered Transactions, to the grantee organization for retention in 
their records. This form should not be submitted to USDA.
16. Compliance With the National Environmental Policy Act (NEPA) (Form 
CSREES-2006)
    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-2006, ``NEPA Exclusions Form,'' must be included 
in the application indicating whether the applicant is of the opinion 
that the project falls within a categorical exclusion and the reasons 
therefore. If it is the applicant's opinion that the proposed project 
falls within the categorical exclusions, the specific exclusion(s) must 
be identified.
    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.

C. Submission of Applications

1. When To Submit (Deadline Date)
    Applications must be received by COB on February 11, 2002. (5 p.m. 
Eastern Time). Applications received after this deadline will not be 
considered for funding.
2. What To Submit
    An original and five (5) copies must be submitted. In addition 
submit two (2) copies of the application's Project Summary. All copies 
of the application and the Project Summary must be submitted in one 
package.
3. Where To Submit
    Applicants are strongly encouraged to submit completed applications 
via overnight mail or delivery service to ensure timely receipt by the 
USDA. The address for hand-delivered applications or applications 
submitted using an express mail or overnight courier service is: Higher 
Education Challenge Grants Program; c/o Proposal Services Unit; 
Cooperative State Research, Education, and Extension Service; U.S. 
Department of Agriculture; Room 1307, Waterfront Centre; 800 9th 
Street, SW.; Washington, DC 20024; Telephone: (202) 401-5048.
    Applications sent via the U.S. Postal Service must be sent to the 
following address: Higher Education Challenge Grants Program; c/o 
Proposal Services Unit; Cooperative State Research, Education, and 
Extension Service; U.S. Department of Agriculture; STOP 2245; 1400 
Independence Avenue, SW.; Washington, DC 20250-2245.

D. Acknowledgment of Applications

    The receipt of all applications will be acknowledged by e-mail. 
Therefore, applicants are strongly encouraged to provide accurate e-
mail addresses, where designated, on the Form CSREES-2002. If the 
applicant's e-mail address is not indicated, CSREES will acknowledge 
receipt of the application by letter.
    If the applicant does not receive an acknowledgment within 60 days 
of the submission deadline, please contact the program contact. Once 
the application has been assigned an application number, please cite 
that number on all future correspondence.

Part IV--Review Process

A. General

    Each application will be evaluated in a 2-part process. First, each 
application will be screened to ensure that it meets the administrative 
requirements as set forth in this RFA. Second, applications that meet 
these requirements will be technically evaluated by a review panel.
    Reviewers will be selected based upon training and experience in 
relevant scientific, extension, or education fields, taking into 
account the following factors: (a) The level of relevant formal 
scientific, technical education, or extension experience of the 
individual, as well as the extent to which an individual is engaged in 
relevant research, education, or extension activities; (b) the need to 
include as reviewers experts from various areas of specialization 
within relevant scientific, education, or extension fields; (c) the 
need to include as reviewers other experts (e.g., producers, range or 
forest managers/operators, and consumers) who can assess relevance of 
the applications to targeted audiences and to program needs; (d) the 
need to include as reviewers experts from a variety of organizational 
types (e.g., colleges, universities, industry, state and Federal 
agencies, private profit and non-profit organizations) and geographic 
locations; (e) the need to maintain a balanced composition of reviewers 
with regard to

[[Page 58321]]

minority and female representation and an equitable age distribution; 
and (f) the need to include reviewers who can judge the effective 
usefulness to producers and the general public of each application.

B. Evaluation Criteria

    The evaluation criteria and weights below will be used in reviewing 
applications submitted in response to this RFA:
1. Potential for Advancing the Quality of Education (30 Points)
    This criterion is used to assess the likelihood that the project 
will have an impact on the quality of food and agricultural sciences 
higher education by promoting and strengthening institutional 
capacities to meet clearly documented State, regional, multi-state, 
national, or international needs. Elements include identification of 
need area(s), justification for the project, innovation (creative 
programs, material or curricula), and a multidisciplinary focus.
2. Proposed Approach (25 Points)
    This criterion relates to the soundness of the proposed approach 
and includes objectives (achievable, logical, based upon review of 
literature), methodology, plan of operation (managerially, 
educationally, and/or scientifically sound), time line, evaluation 
(specific procedures that ensure measurable outcomes and impacts are 
assessed) and dissemination plans (commitment to submit results or 
products to a peer review by the academic community and/or to share 
results or products by electronic communications, conferences, 
workshops, or other similar means), expected products, results and 
measurable outcomes, and partnerships and collaborative efforts 
(enhanced coordination and/or new linkages).
3. Key Personnel (20 Points)
    This criterion relates to the adequacy of the number and 
qualifications of the key persons who will carry out the project.
4. Institutional Commitment and Resources (15 Points)
    This criterion relates to the institution's commitment to the 
project, the adequacy of institutional resources (administrative, 
facilities, equipment and/or materials) available to carry out the 
project, and continuation plans ensuring the project maintains its 
impact once funding expires.
5. Budget and Cost-Effectiveness (10 Points)
    This criterion relates to the extent to which the total budget 
adequately supports the project and is cost-effective. Elements 
considered include the necessity and reasonableness of costs to carry 
out project activities and achieve project objectives; the 
appropriateness of budget allocations between the applicant and any 
collaborating institution(s); the adequacy of time committed to the 
project by key project personnel; and the degree to which the project 
maximizes the use of limited resources, optimizes educational value for 
the dollar, achieves economies of scale, leverages additional funds 
(identify non-Federal matching support), includes sound quality-control 
measures, and focuses expertise and activity on targeted educational 
areas.

C. Conflicts of Interest and Confidentiality

    During the peer evaluation process, extreme care will be taken to 
prevent any actual or perceived conflicts of interest that may impact 
review or evaluation. For the purpose of determining conflicts of 
interest, the academic and administrative autonomy of an institution 
shall be determined by reference to the 2002 Higher Education 
Directory, published by Higher Education Publications, Inc., 6400 
Arlington Boulevard, Suite 648, Falls Church, Virginia 22042. Phone: 
(703) 532-2300. Web site: http://www.hepinc.com.
    Names of submitting institutions and individuals, as well as 
application content and peer evaluations, will be kept confidential, 
except to those involved in the review process, to the extent permitted 
by law. In addition, the identities of peer reviewers will remain 
confidential throughout the entire review process. Therefore, the names 
of the reviewers will not be released to applicants. At the end of the 
fiscal year, names of panelists will be made available in such a way 
that the panelists cannot be identified with the review of any 
particular application.

Part V--Grant Awards

A. General

    Within the limit of funds available for such purpose, the awarding 
official of CSREES shall make grants to those responsible, eligible 
applicants whose applications are judged most meritorious under the 
procedures set forth in this RFA. The date specified by the awarding 
official of CSREES 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 practical so that project goals may be attained within 
the funded project period. All funds granted by CSREES under this RFA 
shall be expended solely for the purpose for which the funds are 
granted in accordance with the approved application and budget, the 
regulations, the terms and conditions of the award, the applicable 
Federal cost principles, and the Department's assistance regulations 
(parts 3015 and 3019 of 7 CFR).

B. Organizational Management Information

    Specific management information relating to an applicant shall be 
submitted on a one-time basis as part of the responsibility 
determination prior to the award of a grant identified under this RFA, 
if such information has not been provided previously under this or 
another CSREES program. CSREES will provide copies of forms recommended 
for use in fulfilling these requirements as part of the preaward 
process. Although an applicant may be eligible based on its status as 
one of these entities, there are factors which may exclude an applicant 
from receiving Federal financial and nonfinancial assistance and 
benefits under this program (e.g., debarment or suspension of an 
individual involved or a determination that an applicant is not 
responsible based on submitted organizational management information).

C. Grant Award Document and Notice of Grant Award

    The grant award document shall include at a minimum the following:
    (1) Legal name and address of performing organization or 
institution to whom the Administrator has awarded a grant under the 
terms of this request for applications;
    (2) Title of project;
    (3) Name(s) and institution(s) of PD's chosen to direct and control 
approved activities;
    (4) Identifying grant number assigned by the Department;
    (5) Project period, specifying the amount of time the Department 
intends to support the project without requiring recompetition for 
funds;
    (6) Total amount of Departmental financial assistance approved by 
the Administrator during the project period;

[[Page 58322]]

    (7) Legal authority(ies) under which the grant is awarded;
    (8) Appropriate Catalog of Federal Domestic Assistance (CFDA) 
number;
    (9) Approved budget plan for categorizing allocable project funds 
to accomplish the stated purpose of the grant award; and
    (10) Other information or provisions deemed necessary by CSREES to 
carry out its respective granting activities or to accomplish the 
purpose of a particular grant.
    The notice of grant award, in the form of a letter, will be 
prepared and will provide pertinent instructions or information to the 
grantee that is not included in the grant award document.

Part VI--Additional Information

A. Access To Review Information

    Copies of reviews, not including the identity of reviewers, and a 
summary of the panel comments will be sent to the applicant PD after 
the review process has been completed.

B. Use of Funds; Changes

1. Delegation of Fiscal Responsibility
    Unless the terms and conditions of the grant state otherwise, 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, PD(s), or other key 
project personnel in the approved project grant shall be limited to 
changes in methodology, techniques, or other similar aspects of the 
project to expedite achievement of the project's approved goals. If the 
grantee or the PD(s) is uncertain as to whether a change complies with 
this provision, the question must be referred to the Authorized 
Departmental Officer (ADO) for a final determination. The ADO is the 
signatory of the award document, not the program contact.
    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 prior to effecting such 
changes.
    d. Transfers of actual performance of the substantive programmatic 
work in whole or in part and provisions for payment of funds, whether 
or not Federal funds are involved, shall be requested by the grantee 
and approved in writing by the ADO prior to effecting such transfers, 
unless prescribed otherwise in the terms and conditions of the grant.
    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, but in no case shall the total 
project period exceed five years. Any extension of time shall be 
conditioned upon prior request by the grantee and approval in writing 
by the ADO, unless prescribed otherwise in the terms and conditions of 
a grant.
    f. Changes in Approved Budget: Changes in an approved budget must 
be requested by the grantee and approved in writing by the ADO prior to 
instituting such changes if the revision will involve transfers or 
expenditures of amounts requiring prior approval as set forth in the 
applicable Federal cost principles, Departmental regulations, or grant 
award.

C. Expected Program Outputs and Reporting Requirements

    (a) During the tenure of a grant, project directors are invited to 
attend at least one national project directors meeting, if offered, in 
Washington, DC, or any other announced location. The purpose of the 
meeting will be to discuss project and grant management, opportunities 
for collaborative efforts, future directions for education reform, and 
opportunities to enhance dissemination of exemplary end products/
results.
    (b) An Annual Performance Report must be submitted to the USDA 
program contact person within 90 days after the completion of the first 
year of the project and annually thereafter during the life of the 
grant. Generally, the Annual Performance Reports should include a 
summary of the overall progress toward project objectives, current 
problems or unusual developments, the next year's activities, and any 
other information that is pertinent to the ongoing project or which may 
be specified in the terms and conditions of the award.
    (c) A Final Performance Report must be submitted to the USDA 
program contact person within 90 days after the expiration date of the 
project. The expiration date is specified in the award documents and 
modifications thereto, if any. Generally, the Final Performance Report 
should be a summary of the completed project, including: a review of 
project objectives and accomplishments; a description of any products 
and outcomes resulting from the project; activities undertaken to 
disseminate products and outcomes; partnerships and collaborative 
ventures that resulted from the project; future initiatives that are 
planned as a result of the project; the impact of the project on the 
project director(s), students, the departments, the institution, and 
the food and agricultural sciences higher education system; and data on 
project personnel and beneficiaries. The Final Performance Report 
should be accompanied by samples or copies of any products or 
publications resulting from or developed by the project. The Final 
Performance Report also must contain any other information which may be 
specified in the terms and conditions of the award.

D. Applicable Federal Statutes and Regulations

    Several Federal statutes and regulations apply to grant 
applications 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 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., OMB 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--USDA implementation of Governmentwide Debarment and 
Suspension (Nonprocurement) and Governmentwide Requirements for Drug-
Free Workplace (Grants).
7 CFR part 3018--USDA implementation of 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 Other

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Agreements With Institutions of Higher Education, Hospitals, and Other 
Nonprofit Organizations.
7 CFR part 3052--USDA implementation of OMB Circular No. A-133, Audits 
of States, Local Governments, and Non-profit Organizations.
7 CFR part 3407--CSREES procedures to implement the National 
Environmental Policy Act of 1969, as amended.
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 Applications and Awards

    When an application results in a grant, it becomes a part of the 
record of CSREES transactions, available to the public upon specific 
request. Information that the Secretary determines to be of a 
confidential, privileged, or proprietary nature will be held in 
confidence to the extent permitted by law. Therefore, any information 
that the applicant wishes to have considered as confidential, 
privileged, or proprietary should be clearly marked within the 
application. The original copy of an application 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 an application will be released 
only with the consent of the applicant or to the extent required by 
law. An application may be withdrawn at any time prior to the final 
action thereon.

F. Regulatory Information

    For the reasons set forth in the final Rule-related Notice to 7 CFR 
part 3015, subpart V (48 FR 29114, June 24, 1983), this program is 
excluded from the scope of the Executive Order 12372 which requires 
intergovernmental consultation with State and local officials. Under 
the provisions of the Paperwork Reduction Act of 1995 (44 U.S.C. 
chapter 35), the collection of information requirements contained in 
this Notice have been approved under OMB Document No. 0524-0039.

    Done at Washington, DC, this 15th day of November 2001.
Colien Hefferan,
Administrator, Cooperative State Research, Education, and Extension 
Service.
[FR Doc. 01-28991 Filed 11-19-01; 8:45 am]
BILLING CODE 3410-22-P