[Federal Register Volume 67, Number 215 (Wednesday, November 6, 2002)]
[Notices]
[Pages 67587-67598]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-28159]


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 Notices
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  Federal Register / Vol. 67, No. 215 / Wednesday, November 6, 2002 / 
Notices  

[[Page 67587]]



DEPARTMENT OF AGRICULTURE

Cooperative State Research, Education, and Extension Service


Request for Applications (RFA): Outreach and Assistance for 
Socially Disadvantaged Farmers and Ranchers

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

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

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

SUMMARY: The Cooperative State Research, Education, and Extension 
Service (CSREES) announces the availability of grant funds and requests 
applications for the Outreach and Assistance for Socially Disadvantaged 
Farmers and Ranchers Competitive Grants Program (OASDFR). This program 
provides outreach and technical assistance to encourage and assist 
socially disadvantaged farmers and ranchers to own and operate farms 
and ranches and to participate in agricultural programs. Appropriations 
for this program from fiscal years (FYs) 2002 and 2003 will be combined 
to support projects submitted in response to this Request for 
Applications (RFA). The amount available for FY 2002 is approximately 
$3,243,000. The FY 2003 appropriations is not known at the time this 
notice is being published but is currently anticipated between 3 and 8 
million dollars. Grants will be made for proposals found to be 
meritorious by a peer review panel to the extent that funds are 
available. However, there is no commitment by USDA to fund any 
particular proposal or to make a specific number of awards.
    This notice identifies the objectives for OASDFR projects, the 
eligibility criteria for projects and applicants, and the application 
forms and associated instructions needed to apply for an OASDFR grant. 
CSREES additionally requests stakeholder input from any interested 
party for use in the development of the next RFA for this program.

DATES: Applications must be received by close of business (COB) on 
January 31, 2003 (5 p.m. Eastern Time). Applications received after 
this deadline will not be considered for funding. Requests for 
Determination must be received by COB November 22, 2002. 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: 
Outreach and Assistance for Socially Disadvantaged Farmers and Ranchers 
Competitive Grants Program; c/o Proposal Services Unit; Cooperative 
State Research, Education, and Extension Service; U.S. Department of 
Agriculture; Room 1420, Waterfront Centre; 800 9th Street, SW., 
Washington, DC 20024; telephone: (202) 401-5048. Requests for 
Determination should be delivered or e-mailed to the program contact 
identified in Part I.D.
    Written stakeholder comments should be mailed 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 Outreach and Assistance for Socially Disadvantaged 
Farmers and Ranchers Competitive Grants Program RFA.

FOR FURTHER INFORMATION CONTACT: Dr. Elizabeth Tuckermanty, Program 
Director, Cooperative State Research, Education, and Extension Service; 
U.S. Department of Agriculture; STOP 2241, 1400 Independence Avenue, 
SW., Washington, DC 20250-2242; telephone: (202) 205-0241; fax: (202) 
401-6488; e-mail: [email protected].

SUPPLEMENTARY INFORMATION:

Table of Contents

Stakeholder Input

Catalog of Federal Domestic Assistance

Part I--General Information

A. Legislative Authority and Background
B. Purpose, Priorities, and Fund Availability
C. Eligibility
D. Request for Determination
E. Indirect Costs
F. Matching Requirements
G. Funding Restrictions
H. Type of Application

Part II--Program Description

A. Project Types
B. Program Description

Part III--Preparation of an Application

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

Part IV--Review Process

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

Part V--Award Administration

A. General
B. Organizational Management Information
C. Award Document and Notice of 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 Applications and Awards
F. Regulatory Information
G. Definitions

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.

[[Page 67588]]

Catalog of Federal Domestic Assistance

    This program is listed in the Catalog of Federal Domestic 
Assistance under 10.443, Outreach and Assistance for Socially 
Disadvantaged Farmers and Ranchers Program.

Part I--General Information

A. Legislative Authority and Background

    Section 2501(a) of the Food, Agriculture, Conservation, and Trade 
Act of 1990, Public Law 101-624, November 28, 1990, (7 U.S.C. 2279(a)) 
authorizes the Secretary to make grants to eligible institutions and 
organizations so that they may provide outreach and technical 
assistance to encourage and assist socially disadvantaged farmers and 
ranchers to own and operate farms and ranches and to participate 
equitably in the full range of agricultural programs offered by the 
Department. This assistance shall enhance coordination of the outreach, 
technical assistance, and education efforts authorized under various 
agriculture programs and include information on and assistance with 
commodity, conservation, credit, rural, and business development 
programs, application and bidding procedures, farm and risk management, 
marketing and other activities essential to participation in 
agricultural and other programs of the Department.
    The OASDFR brings the existing knowledge base to bear on farm and 
ranch management issues faced by socially disadvantaged farmers and 
ranchers throughout the Nation.

B. Purpose, Priorities, and Fund Availability

1. Purpose and Priorities
    The primary purpose of the OASDFR is to deliver outreach and 
technical assistance, including educational programs, to enhance the 
potential of socially disadvantaged farmers and ranchers to 
successfully acquire, own, operate, and retain farms and ranches. The 
OASDFR will support a wide range of outreach and assistance activities 
in farm management, financial management, marketing, application and 
bidding procedures, and other areas.
    Proposals need to identify the socially disadvantaged group(s) that 
is being targeted for assistance. (See Part VI.G., definition nos. 33 
and 34.) Applicants must provide information to document why a targeted 
group(s) is appropriate for assistance under this program. If you are 
targeting a socially disadvantaged group not specified in the above 
definition(s), you must provide in-depth documentation justifying why 
this group(s) is socially disadvantaged. This document, entitled a 
Request for Determination, requests the Secretary to determine whether 
the targeted group qualifies under the Program. A determination by the 
Secretary or designated individual will be made and the applicant will 
be notified shortly thereafter. (See Part I.D., Request for 
Determination).
    Proposed projects might include one or more of the following: The 
use of existing, and the formation of new, outreach and assistance 
networks focused on increasing participation in various USDA and other 
programs by socially disadvantaged agricultural producers; further 
development or modification of farm and ranch management (including 
marketing) and financial management curricula and materials designed to 
enhance the potential for farm and ranch ownership by socially 
disadvantaged farmers and ranchers; the development of innovative 
delivery systems that improve the effectiveness of these programs; and 
the development or improvement in the means by which assistance is 
provided to the targeted audiences.
    Proposals need to incorporate a project evaluation component that 
will permit a qualitative and quantitative assessment of expected 
project impacts. How will success of the proposed project be measured? 
Such assessments need to relate to increases in participation rates in 
USDA programs and in increasing the ownership of farming and ranching 
operations by socially disadvantaged farmers and ranchers.
    Priority will be given to projects that identify and document the 
outreach and assistance needs of socially disadvantaged farmers and 
ranchers as they exist at regional, State and local levels, and that 
propose effective educational and assistance programs that address 
those needs. It is incumbent upon the applicant(s) to adequately define 
and justify the needs of the disadvantaged group(s) the project is 
targeting. Proposed projects should, as appropriate, address needs as 
determined by: Producer audiences; commodity mixes in the area(s) of 
interest; types of outreach and assistance needs associated with 
available and appropriate USDA and other agricultural programs; 
production, marketing, financial, legal and human resource conditions 
in the area(s) being addressed; and/or other factors that hold the 
greatest potential for assisting these producers in gaining and 
maintaining ownership of their farms and ranches or that enhance the 
opportunity for ownership.
    The OASDFR will also fund projects that provide OASDFR assistance 
in applying for and receiving aid under USDA programs administered by 
various agencies within the Department of Agriculture. These include 
but are not limited to loan programs, guaranteed loan programs, 
allocations of crop base in each program crop, and various conservation 
programs. Pertinent USDA agricultural programs include but are not 
limited to the following, identified by the Federal Domestic Assistance 
title and number: Emergency Conservation Program (10.054); Production 
and Flexibility Payments for Contract Commodities (10.055); Forestry 
Incentives Program (10.064); Conservation Reserve Program (10.069); 
Emergency Loans (10.404); Farm Ownership Loans (10.407); Great Plains 
Conservation (10.900); and Soil Survey (10.903). There may be other 
Federal and State agricultural programs that also could assist members 
of socially disadvantaged groups. Applicants should provide a brief, 
relevant synopsis on the program(s) they are incorporating in their 
proposed project.
2. Funds Availability
    Appropriations for this program from fiscal years (FYs) 2002 and 
2003 will be combined to support projects submitted in response to this 
Request for Applications. The amount available for FY 2002 is 
approximately $3,243,000. The FY 2003 appropriation is not known at the 
time this notice is being published but is currently anticipated 
between 3 and 8 million dollars. Grants will be made for proposals 
found to be meritorious by a peer review panel to the extent that funds 
are available. However, there is no commitment by USDA to fund any 
particular proposal or to make a specific number of awards.
    Normally, awards will not exceed $100,000 per year for three years 
($300,000 total) for Standard Projects (see Part II.A.). Any proposed 
project that exceeds these parameters will need to fully justify the 
increases. Conference/workshop awards will not normally exceed $10,000 
and are limited to a one-year duration. However, conference/workshops 
that are regional or national in scope may receive larger awards, but 
normally will not exceed $25,000.

[[Page 67589]]

C. Eligibility

1. Applications may be submitted by:
    (a) Any community-based organization, network, or coalition of 
community-based organizations that:
    (i) has demonstrated experience in providing agricultural education 
or other agriculturally related services to socially disadvantaged 
farmers and ranchers;
    (ii) as provided to the Secretary documentary evidence of work with 
socially disadvantaged farmers and ranchers during the two-year period 
preceding the submission of an application for assistance under this 
program (documentary evidence shall include a narrative providing 
specific information regarding: the scope of past projects, including 
the number of socially disadvantaged farmers and ranchers served or in 
the area served by the organization; activities conducted; community 
involvement; and copies of prior agreements, press releases, news 
articles, and other contemporaneous documents supporting the 
narrative); and
    (iii) does not engage in activities prohibited under Section 
501(c)(3) of the Internal Revenue Code of 1986.
    (b) An 1890 institution or 1994 institution (as defined in section 
2 of the Agricultural Research, Extension, and Education Reform Act of 
1998 (7 U.S.C. 7601)), including West Virginia State College.
    (c) An Indian Tribal Community College or an Alaska Native 
Cooperative College.
    (d) An Hispanic-serving institution (as defined in section 1404 of 
the National Agricultural Research, Extension, and Teaching Policy Act 
of 1977 (7 U.S.C. 3103)).
    (e) Any other institution of higher education (as defined in 
section 101 of the Higher Education Act of 1965 (20 U.S.C. 1001)) that 
has demonstrated experience in providing agriculture education or other 
agriculturally related services to socially disadvantaged farmers and 
ranchers in a region.
    (f) An Indian tribe (as defined in section 4 of the Indian Self-
Determination and Education Assistance Act (25 U.S.C. 450b)) or a 
national tribal organization that has demonstrated experience in 
providing agriculture education or other agriculturally related 
services to socially disadvantaged farmers and ranchers in a region.
    (g) An organization or institution that received funding under this 
program before January 1, 1996, but only with respect to projects that 
the Secretary considers are similar to projects previously carried out 
by the organization or institution under this program.
    Award recipients may subcontract to organizations not eligible to 
apply provided such organizations are necessary for the conduct of the 
project; however, the subcontracted amount may not exceed one-third of 
the total grant award.

D. Request for Determination

    If an applicant proposes to fund a program targeted to a socially 
disadvantaged group(s) not specifically identified in the Definitions 
section of this RFA, the applicant must submit documentation supporting 
their request to CSREES by November 22, 2002. The Secretary or 
designated individual will determine whether the group or groups 
identified are eligible under this Program. The Request for 
Determination must be submitted as a separate letter (or e-mail to the 
program contact identified at the beginning of this RFA). The legend at 
the top of the letter must read ``REQUEST FOR DETERMINATION.'' In 
addition the following information must be provided in the order 
specified below:
    (a) Description of Racial or Ethnic Group Submitted for 
Determination; and
    (b) Data or Studies Supporting Designation of Racial, Ethnic or 
Socially Disadvantaged Group.
    Each applicant in this category will be notified as to the outcome 
of the determination. If the determination is positive, the applicant 
will be invited to submit an application as outlined in this RFA by 
January 31, 2003.

E. Indirect Costs

    Pursuant to section 1462 of the National Agricultural Research, 
Extension, and Teaching Policy Act of 1977, as amended (7 U.S.C. 3310), 
indirect costs for this program are limited to 19 percent of the total 
Federal funds provided under each award. Therefore, the recovery of 
indirect costs under this program may not exceed the lesser of the 
institution's official negotiated indirect cost rate or the equivalent 
of 19 percent of total Federal funds awarded. Another method of 
calculating the maximum allowable is 23.456 percent of the total direct 
costs. (This limitation also applies to the recovery of indirect costs 
by any subawardee or subcontractor, and should be reflected in the 
subrecipient budget.) If no rate has been negotiated, a reasonable 
dollar amount (equivalent to or less than 19 percent of total Federal 
funds requested) in lieu of indirect costs may be requested, subject to 
approval by USDA. This same indirect cost limitation applies to 
subcontracts.

F. Matching Requirements

    There is no requirement for grant recipients to provide matching 
funds under this program.

G. Funding Restrictions

    Program funds may not be used for the renovation or refurbishment 
of research, education or extension space; the purchase or installation 
of fixed equipment in such space; or the planning, repair, 
rehabilitation, acquisition, or construction of buildings or 
facilities.

H. Type of Application

    All applications submitted to this Request for Applications (RFA) 
will be new requests to CSREES. Previous recipients of funds under this 
program may apply to this RFA. All applications must contain 
information requested under the ``Content of Applications'' section of 
this RFA (see Part III.B.), be received by the deadline date shown in 
Part III.C., and will be reviewed competitively using the selection 
process and evaluation criteria described in Part IV., Review Process.

Part II--Program Description

A. Project Types

1. Standard Projects
    Standard Projects are those that provide assistance and outreach to 
socially disadvantaged farmers and ranchers with the ultimate aim of 
increasing and retaining ownership. Standard projects that incorporate 
multiple collaborators, particularly community-based collaborators, are 
encouraged. It is incumbent upon the applicants to document the 
potential impact of their project upon socially disadvantaged farmers 
and ranchers. Information as to the degree to which partnerships and 
collaborations enhance the services to be delivered, and the areas and 
numbers of the targeted audience that are expected to be served in 
terms of assistance should be provided. Outreach designed to inform the 
targeted audience of the assistance available through the OASDFR, and 
the expected outcomes in terms of increased ownership of farms and 
ranches are also important considerations that should be explicitly 
discussed. While the development of a needs assessment is acceptable, 
applicants should understand that proposals that utilize an existing 
needs assessment to justify their proposed project are often more 
competitive than those that have as one of the project objectives the

[[Page 67590]]

development of a needs assessment. In addition, proposals which 
document how certain methodologies or results are transferable to other 
areas also strengthens a proposal.
    Standard Project applicants are encouraged to coordinate with any 
existing regional projects and complement pertinent and relevant cross-
regional activities. Proposals that build on existing information 
networks and offer innovative or expanded activities are encouraged. 
Applicants are encouraged to closely examine the evaluation criteria 
noted in Part IV.B. as they prepare their proposals.
    In addition to the above, Standard Project proposals should address 
or target one or more of the specific items below:
    (a) Meet a specialized OASDFR need that is local, State-specific, 
regional or national in scope, (e.g., national coordination of OASDFR 
efforts) and that has common characteristics that can be addressed in a 
single project. Projects that are local or State-specific need to 
provide evidence that the problem or need being addressed also exists 
elsewhere and that the methodologies and results may have application 
in these other areas.
    (b) Be willing to share findings with other interested entities and 
organizations by providing information on methodologies, data, 
analytical techniques, findings, etc.
    The amount requested must be commensurate with the activities 
proposed. Normally, Standard Project awards will not exceed $100,000 
per year for a three-year duration (total of $300,000). However, with 
appropriate and compelling justification, larger awards may be granted 
and the time period may be extended to four years.
2. Conference and Workshop Proposals
    Proposed conferences and workshops are important tools in providing 
assistance and outreach. They may be used by interested parties to 
gather and establish a needs assessment and determine priorities. 
Conference and workshops are an excellent vehicle to determine group 
needs, collect data and discuss other relevant issues. This information 
may, in turn, be used to develop a Standard Project proposal that 
addresses a group's needs. Alternatively, such meetings can serve to 
exchange information concerning past and present activities, and future 
needs. In addition, OASDFR conferences that promote program 
coordination, provide the opportunity to train educators on OASDFR 
project tools and methods, build community-based partnerships and 
collaborations, provide various techniques for individual project 
internal evaluations, and establish strategies that result in 
successful projects are also encouraged.
    Conference and workshop applicants must set forth the purpose and 
need for the conference, ensure that an agenda is articulated, 
including a list of participant groups and experts on the proposed 
subject(s), and list speakers (invited and confirmed) with their 
expertise noted. (See Part III.B.5.) Awards for a conference or a 
workshop will normally not exceed $10,000. A larger amount may be 
awarded provided a conference is multi-regional or national in scope. 
Normally, these latter awards will not exceed $25,000.

B. Program Description

    The primary purpose of the OASDFR is to deliver outreach and 
technical assistance, including educational programs, to enhance the 
potential of socially disadvantaged farmers and ranchers to 
successfully acquire, own, operate, and retain farms and ranches. The 
OASDFR will support a wide range of outreach and assistance activities 
in farm management, financial management, marketing, application and 
bidding procedures, and other areas. Proposed projects might include 
one or more of the following: The use of existing, and the formation of 
new, outreach and assistance networks focused on increasing 
participation in various USDA and other programs by socially 
disadvantaged agricultural producers; further development or 
modification of farm and ranch management (including marketing) and 
financial management curricula and materials designed to enhance the 
potential for farm and ranch ownership by socially disadvantaged 
farmers and ranchers; the development of innovative delivery systems 
that improve the effectiveness of these programs; and the development 
or improvement in the means by which assistance is provided to the 
targeted audiences.
    Proposals need to incorporate a project evaluation component that 
will permit a qualitative and quantitative assessment of expected 
project impacts. How will success of the proposed project be measured? 
Such assessments need to relate to increases in participation rates in 
USDA programs and in increasing the ownership of farming and ranching 
operations by socially disadvantaged farmers and ranchers.
    Priority will be given to projects that identify and document the 
outreach and assistance needs of socially disadvantaged farmers and 
ranchers as they exist at regional, State and local levels, and that 
propose effective educational and assistance programs that address 
those needs. It is incumbent upon the applicant(s) to adequately define 
and justify the needs of the disadvantaged group(s) the project is 
targeting. Proposed projects should, as appropriate, address needs as 
determined by: Producer audiences; commodity mixes in the area(s) of 
interest; types of outreach and assistance needs associated with 
available and appropriate USDA and other agricultural programs; 
production, marketing, financial, legal and human resource conditions 
in the area(s) being addressed; and/or other factors that hold the 
greatest potential for assisting these producers in gaining and 
maintaining ownership of their farms and ranches or that enhance the 
opportunity for ownership.
    The OASDFR will also fund projects that provide OASDFR assistance 
in applying for and receiving aid under USDA programs administered by 
various agencies within the Department of Agriculture. These include 
but are not limited to loan programs, guaranteed loan programs, 
allocations of crop base in each program crop, and various conservation 
programs. Pertinent USDA agricultural programs include but are not 
limited to the following, identified by the Federal Domestic Assistance 
title and number: Emergency Conservation Program (10.054); Production 
and Flexibility Payments for Contract Commodities (10.055); Forestry 
Incentives Program (10.064); Conservation Reserve Program (10.069); 
Emergency Loans (10.404); Farm Ownership Loans (10.407); Great Plains 
Conservation (10.900); and Soil Survey (10.903). There may be other 
Federal and State agricultural programs that also could assist members 
of socially disadvantaged groups. Applicants should provide a brief, 
relevant synopsis on the program(s) they are incorporating in their 
proposed project.

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 hard copy, you may contact 
the Proposal Services Unit, 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

[[Page 67591]]

Outreach and Assistance for Socially Disadvantaged Farmers and Ranchers 
Competitive 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 Outreach and Assistance for Socially Disadvantaged Farmers and 
Ranchers Competitive Grants Program RFA and the associated application 
forms.

B. Content of Applications

    The proposals should be prepared following the guidelines and the 
instructions below. Each proposal must contain the following elements 
in the order indicated:
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 10 copies (11 total) must be submitted in one 
package, along with 15 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) Project Description
(5) References
(6) Appendices to Project Description
(7) Key Personnel
(8) Collaborative Arrangements (including Letters of Support)
(9) Conflict-of-Interest List (Form CSREES-2007)
(10) Budget (Form CSREES-2004)
(11) Budget Narrative
(12) Current and Pending Support (Form CSREES-2005)
(13) Assurance Statement(s) (Form CSREES-2008)
(14) Compliance with the National Environmental Policy Act (NEPA) (Form 
CSREES-2006)
(15) Certification of Compliance to Section 501(c)(3) of the Internal 
Revenue Code of 1986
(16) Page B, Proposal Cover Page (Form CSREES-2002), Personal Data on 
Project Director
2. Proposal Cover Page (Form CSREES-2002)

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 
Project Director(s) (PD) 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-PDs for an 
application, please list additional co-PDs on a separate sheet of paper 
(with appropriate information and signatures) 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 6.a. and 6.b.). For 
Block 6.a., 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 6.b., 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.
    (c) Program to Which You Are Applying (Block 8.). Enter ``Outreach 
and Assistance for Socially Disadvantaged Farmers and Ranchers 
Competitive Grants Program.'' Designate whether your application is for 
a ``Standard Project,'' ``Conference'' or ``Workshop.''
    (d) Type of Request (Block 14.). Check the block for New.
    (e) Project Director (PD) (Blocks 16.-19.). Blocks 16.-18. are used 
to identify the PD and Block 19. to identify co-PDs. If needed, 
additional co-PDs 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-PDs, 
beyond those required for genuine collaboration, is discouraged.
    (f) Other Possible Sponsors (Block 21.). List the names or acronyms 
of all other 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.

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

[[Page 67592]]

approximately 250 words, contained within the box, placed immediately 
after the Table of Contents, and not numbered. The names and affiliated 
organizations of all PDs and co-PDs 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); and relevance of the project to 
the goals of the Program. The importance of a concise, informative 
Project Summary cannot be overemphasized for this is the only document 
that is read by each of the peer panel review members. If there are 
more than four co-PDs 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. Project Description
    Please Note: The Project Description for a Standard Project request 
shall not exceed 15 pages of written text and up to five additional 
pages for figures and tables. The Project Description for a Conference 
or Workshop proposal is limited to five pages of written text. These 
limitations (15 pages for Standard Project requests and five pages for 
Conference/Workshop proposals) have been established to ensure fair and 
equitable competition.
(a) Standard Project
    The Project Description should clearly and concisely indicate how 
the proposed project will meet the objectives and carry out the 
procedures identified in Part II--Program Description. This section 
should contain the following:
    An introduction which states the goals and objectives of the 
proposed activities, documents needs, describes ongoing related 
activities and includes relevant data;
    An approach which identifies (1) Proposed activities and methods, 
(2) expected outcomes, (3) how outcomes will benefit socially 
disadvantaged farmers and ranchers, and (4) indicators which will 
verify program results;
    A timetable which specifies expected completion dates for each 
phase of the project; and
    Identification of collaborative arrangements including 
description(s) of how they contribute to completion of the entire 
project.
(b) Conference and Workshops
    An introduction that states goals and objectives and expected 
outcomes of the conference/workshop, the rationale and justification 
for the conference/workshop, and how it would advance the goals and 
objectives of the OASDFR;
    A discussion of the topics to be discussed and why they are 
relevant to the conference/workshop goals and objectives;
    An agenda that identifies the topics and speakers (if letters of 
commitment are not included in the proposal, list speakers as 
``invited,'' and when commitment letters are received provide signed 
copies to the CSREES Program Director or the Director of Integrated 
Programs). Letters of commitment should identify the topic the speaker 
will be presenting; and
    How will the expected results be conveyed to target audiences? What 
means will be used? Any follow-up activities?
6. 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.
7. 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. The peer panel reviewers are evaluating a number of 
proposals; thus, to the extent possible, extraneous material should be 
kept to a minimum. Letters of commitment from collaborators/
subcontractors and letters of support should be included as an 
appendix.
8. 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 documented in the budget and budget 
justification if receiving project funds); 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 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. Experience 
in developing and conveying outreach and assistance to the targeted 
populations are also significant factors that provide the reviewers 
with enough salient information as to the capabilities of the 
applicant(s). This material is very important not only in attesting to 
the qualifications of the project participants but also for determining 
necessary information for the Conflict-of-Interest form noted below.
9. 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 commitment) should be 
provided that details what the collaborators have agreed to provide and 
the costs of those 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.
10. 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 8(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

[[Page 67593]]

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 or appearances of conflicts of interest with the personnel in 
the grant application. The CSREES Program Director or the Director of 
Integrated Programs must be informed of any additional conflicts of 
interest that arise after the application is submitted.
11. Budget
    (a) Budget Form (Form CSREES-2004)
    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 item 
11(c) of this part).
    (b) Indirect Costs
    See Part I., E. for specific information about the recovery of 
indirect costs.
    (c) 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.
12. 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 
8(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.
13. 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 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, Public Law 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.
14. 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.
15. 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

[[Page 67594]]

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.
16. Certification of Compliance to Section 501(c)(3) of the Internal 
Revenue Code of 1986
    Applicants that are not recognized by the Internal Revenue Service 
as a Section 501(c)(3) organization must include, on a separate sheet 
of paper, a statement that they have not, and will not engage in any of 
the prohibited activities contained in Section 501(c)(3) of the 
Internal Revenue Code of 1986.

C. Submission of Applications

1. When to Submit (Deadline Date)
    Requests for Determination must be submitted by COB on November 22, 
2002.
    Applications for Standard Projects or Conferences or Workshops must 
be received by COB on January 31, 2003 (5:00 p.m. Eastern Time). 
Applications received after this deadline will not be considered for 
funding.
2. What to Submit
    Only a single copy of the Request for Determination (if applicable) 
is required.
    An original and 10 copies of each application must be submitted. In 
addition, submit 15 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 must submit via letter or e-mail Requests for 
Determination to the program contact listed in Part I.D. and in the 
preamble.
    Applicants are strongly encouraged to submit completed applications 
via overnight mail or delivery service to ensure timely receipt by the 
CSREES. The address for hand-delivered applications submitted using an 
express mail or overnight courier service, is:
    Outreach and Assistance for Socially Disadvantaged Farmers and 
Ranchers Competitive Grants Program, c/o Proposal Services Unit, 
Cooperative State Research, Education, and Extension Service, U.S. 
Department of Agriculture, Room 1420, 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:
    Outreach and Assistance for Socially Disadvantaged Farmers and 
Ranchers Competitive 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 a proposal 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, a number of expert 
reviewers will conduct a merit review based on the evaluation criteria. 
The views of the individual reviewers will be used by CSREES to 
determine which applications will be recommended to the Administrator 
for funding. Evaluated applications will be ranked based on merit. 
Final approval for those applications recommended for an award will be 
made by the Administrator.
    Reviewers will be drawn from a number of areas, among them 
government, universities, community-based organizations, and other 
pertinent entities. Reviewers will be selected based upon training and 
experience in relevant scientific, extension, or education fields, or 
experience in community-based organizations, 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 the individual is or has been engaged in 
providing outreach and assistance to disadvantaged groups; (b) the need 
to include as reviewers experts from various areas of specialization 
within relevant community-based organizations and/or scientific, 
education, or extension fields that provide outreach and assistance to 
disadvantaged groups; (c) the need to include as reviewers other 
experts (e.g., members of community-based organizations, 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 minority and female representation and age 
distribution; and (f) the need to include reviewers who can judge the 
effective usefulness of outreach and assistance programs for socially 
disadvantaged farmers and ranchers.

B. Evaluation Criteria

    The evaluation criteria noted below will be used in reviewing 
applications submitted in response to this RFA. The points assigned 
provide an indication of the relative importance of each section and 
will be used by the reviewers in evaluating the proposals.
1. Standard Project Proposals
    (a) Statement of Work and Needs Being Addressed (50 points)
    The degree to which the proposed project addresses the major 
purposes of the OASDFR and the severity and importance of the needs 
being addressed. The degree to which the statement of work reflects 
innovative strategies for providing outreach and assistance to socially 
disadvantaged groups and the potential for achieving project 
objectives. Reviewers will be examining originality, practicality, and 
creativity in developing successful solutions to the problems facing 
the targeted audience. Responsiveness to the need to provide 
information and assistance on application procedures and bidding 
protocols to gain entry into USDA programs, farm and financial

[[Page 67595]]

management, and other information necessary to enhance participation in 
USDA and other pertinent programs, conducting successful farming 
operations, and gaining and maintaining ownership of those operations. 
Numbers of socially disadvantaged farmers and ranchers that the project 
intends to assist should be clearly specified. Applications that 
dovetail or mutually support other on-going related projects are 
encouraged.
    (b) Capabilities of Project Personnel, Institutional Commitment and 
Collaborations (30 points)
    Participating with other agencies, community-based organizations, 
and other institutions and organizations in undertaking and carrying 
out such projects often provides a higher level of confidence for 
project success. Having community involvement and ``ownership'' in such 
projects provides evidence that the needs are real, important, and will 
be successfully addressed. As important is the commitment of the 
applicant institution or organization in terms of experience and 
competencies of the project director and collaborators, and the 
availability of personnel and resources to direct and carry out the 
project.
    (c) Internal Project Evaluation Plan and Verification of Outcomes 
(20 points)
    Reviewers will judge applications as to the merits of a ``self-
evaluation'' plan, or other means by which the project will be managed, 
significant outcomes achieved, and the reasonableness of timelines. How 
the Project Directors might react in recommending changes to processes 
and procedures as a result of unforeseen early successes or failures 
will be judged as well. The application should address the capacity to: 
(i) Assemble, summarize, and present data that verify OASDFR outcomes 
or impacts, and (ii) deliver project materials and results to socially 
disadvantaged farmers and ranchers, stakeholders, and other OASDFR 
project leaders.
2. Conferences and Workshops

(a) Rationale and Justification for the Conference/Workshop (30 points)

    The degree to which the applicant makes clear the need to have the 
conference or workshop. Is the conference appropriately justified? Do 
the conference topic areas address the goals and objectives of the 
OASDFR? Are there components that could potentially improve or make 
more effective the OASDFR?

(b) Expected Outcomes (50 points)

    Are the expected outcomes of the conference or workshop 
appropriate, given the goals and objectives of the OASDFR? Are the 
speakers and participants appropriate given the topic areas to be 
explored, the rationale and justification, and the goals and objectives 
of the OASDFR? Will the results be generally useful to other areas?

(c) Agenda (20 points)

    Is the agenda logical and reasonable given the rationale and 
justification and the expected outcomes?

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.

Part V--Award Administration

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, 3016 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. Award Document and Notice of Award

    The grant award document will provide pertinent instructions and 
information, including 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 PDs 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;
    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

[[Page 67596]]

    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.

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

    Funded projects will be expected to verify program accomplishments. 
Evidence of actual or intended beneficial changes in the degree of 
ownership by socially disadvantaged farmers and ranchers is 
particularly desirable, in addition to documentation of producer 
involvement in program activities. The evidence is expected to include 
participants' assessment of the value of program outreach and 
assistance activities and suggestions for improvement. Grantees must 
prepare annual reports that document significant activities or events 
that show movement toward achieving goals and objectives of the 
project. The reports should specify performance targets for that period 
and contain evidence that verifies the extent to which these targets 
have been met. Approximately one month after the anniversary start 
date, an annual report format will be provided to the Project Director. 
This report will compare accomplishments against stated goals, and 
highlight those assistance and outreach methods that prove to be highly 
successful.

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, subpart A--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, Public Law No. 95-
224), as well as general policy requirements applicable to recipients 
of Departmental financial assistance.
    7 CFR part 3016--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 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 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

[[Page 67597]]

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.

G. Definitions

    For the purpose of this program, the following definitions are 
applicable:
    (1) 1890 Land-Grant Colleges means one of those institutions 
eligible to receive funds under the Act of August 30, 1890, as amended 
(7 U.S.C. 321 et seq.), including Tuskegee University and West Virginia 
State College.
    (2) Administrator means the Administrator of the Cooperative State 
Research, Education, and Extension Service (CSREES) and any other 
officer or employee of the Department to whom the authority involved is 
delegated.
    (3) Agricultural Programs means those activities established or 
authorized by: the Agricultural Act of 1949 (7 U.S.C. 1421 et seq.); 
the Consolidated Farm and Rural Development Act (7 U.S.C. 1921 et 
seq.); the Agricultural Adjustment Act of 1938 (7 U.S.C. 1281 et seq.); 
the Soil Conservation Act; the Domestic Allotment Assistance Act; the 
Food Security Act of 1985; and other such acts as determined by the 
Administrator, Cooperative State Research, Education, and Extension 
Service, USDA, on a case-by-case basis either at the Administrator's 
initiative or in response to a written request with supporting 
explanation for inclusion of an Act. Covered programs include, but are 
not limited to, agricultural conservation program, programs comprising 
the environmental conservation acreage reserve program (ECARP), 
conservation technical assistance program, emergency conservation 
program, forestry incentives program, Great Plains Conservation 
Program, integrated farm management option program, price support and 
production adjustment program, rural environmental conservation 
program, soil survey program, water bank program, and the farm loan 
programs (farm ownership, operating soil and water, and emergency 
loans).
    (4) Alaska Native means a citizen of the United States who is a 
person of one-fourth degree or more Alaska Indian (including Tsimshian 
Indians not enrolled in the Metlaktla Indian Community), Eskimo, or 
Aleut blood, or combination thereof. It also includes, in the absence 
of proof of a minimum blood quantum, any citizen of the United States 
who is regarded as an Alaska Native by the Native Village or Native 
group of which he claims to be a member and whose father or mother is 
(or if deceased, was) regarded as Native by any village or group.
    (5) Alaska Native cooperative colleges means any post-secondary 
education institution that at the time of application, has an 
enrollment of undergraduate students that is at least 20 percent Alaska 
Native students.
    (6) Assistance means providing hands-on assistance through 
workshops, site visits and other means of contact with socially 
disadvantaged farmers and ranchers to enable them to understand the 
application process and to apply for or to take advantage of USDA and 
other relevant and pertinent programs. Assistance is also defined as 
providing guidance and help in understanding the process and procedures 
for applying for grants, loans, mortgages, or other financial resources 
that assist socially disadvantaged farmers and ranchers in gaining 
ownership of their farming and ranching operations.
    (7) 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.
    (8) Authorized organizational representative means the president, 
director, chief executive officer, or other designated official of the 
applicant organization, who has the authority to commit the resources 
of the organization.
    (9) Budget period means the interval of time (usually 12 months) 
into which the project period is divided for budgetary and reporting 
purposes.
    (10) Community-based organization means a nongovernmental 
organization with a well-defined constituency that includes all or part 
of a particular community; e.g., communities consisting of socially 
disadvantaged farmers and ranchers.
    (11) Department or USDA means the United States Department of 
Agriculture.
    (12) Enrollment of needy students means an enrollment at an 
institution with respect to which: (a) At least 50 percent of the 
degree students so enrolled are receiving need-based Federal financial 
assistance, including the Federal Work-study Program, in the second 
year preceding the fiscal year for which the determination is made 
(other than loans for which an interest subsidy is paid pursuant to 20 
U.S.C. 1708); or (b) a substantial percentage of the students so 
enrolled are receiving Federal Pell Grants in the second fiscal year 
preceding the fiscal year for which determination is made, compared to 
the percentage of students receiving Federal Pell Grants at all such 
institutions in the second fiscal year preceding the fiscal year for 
which the determination is made.
    (13) Extension activity means an act or process that delivers 
science-based knowledge and informal educational programs to people, 
enabling them to make practical decisions.
    (14) Farmer/Rancher means an owner and/or operator who has a vested 
interest in the operation of the farm or ranch.
    (15) Grant means the award by the Secretary of funds to an eligible 
organization or individual to assist in meeting the costs of 
conducting, for the benefit of the public, an identified project which 
is intended and designed to accomplish the purpose of the program as 
identified in these guidelines.
    (16) Grantee means the organization designated in the grant award 
document as the responsible legal entity to which a grant is awarded.
    (17) Hispanic serving post-secondary educational institution means 
a post-secondary educational institution that: (a) At the time of 
application, has an enrollment of undergraduate full-time equivalent 
students that is at least 25 percent Hispanic students; and (b) 
provides assurances that not less than 50 percent of the institution's 
Hispanic students are low-income individuals.
    (18) Indian Tribe or national tribal organization means any Indian 
tribe, band, nation, or other organized group or community, including 
any Alaska Native village or regional or village corporation as defined 
in or established pursuant to the Alaska Native Claims Settlement Act 
(85 Stat. 688) (43 U.S.C. 1601 et seq.), which is recognized as 
eligible for the special programs and services provided by the United 
States to Indians because of their status as Indians.

[[Page 67598]]

    (19) Indian Tribal Community Colleges means a post-secondary 
education institution which: (a) Is formally controlled, or has been 
officially sanctioned, or chartered, by the governing body of an Indian 
tribe or tribes, except no more than one such institution shall be 
recognized with respect to any such tribe; and (b) includes an 
institution listed in the Equity in Educational Land Grant Status Act 
of 1994, as amended (7 U.S.C. 301 note). The 1994 Land-Grant 
Institutions are: Bay Mills Community College, Blackfeet Community 
College, Cankdeska Cikana Community College, College of Menominee 
Nation, Crownpoint Institute of Technology, D-Q University, Dine 
Community College, Chief Dullknife Memorial College, Fond Du Lac Tribal 
and Community College, Fort Belknap College, Fort Berthold Community 
College, Fort Peck Community College, Haskell Indian Nations 
University, Institute of American Indian and Alaska Native Culture and 
Arts Development, Lac Courte Orielles Ojibwa Community College, Leech 
Lake Tribal College, Little Big Horn College, Little Priest Tribal 
College, Nebraska Indian Community College, Northwest Indian College, 
Oglala Lakota College, Salish Kootenai College, Sinte Gleska 
University, Sisseton Wahpeton Community College, Si Tanka/Huron 
University, Sitting Bull College, Southwestern Indian Polytechnic 
Institute, Stone Child College, Turtle Mountain Community College, 
United Tribes Technical College, and White Earth Tribal and Community 
College.
    (20) Institution of Higher Education means an educational 
institution in any State that (a) 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; (b) is legally authorized within such State to provide a 
program of education beyond secondary education; (c) provides an 
educational program for which the institution awards a bachelor's 
degree or provides not less than a 2-year program that is acceptable 
for full credit toward such a degree; (d) is a public or other 
nonprofit institution; and (e) is accredited by a nationally recognized 
accrediting agency or association, or if not so accredited, is an 
institution that has been granted preaccreditation status by such an 
agency or association that has been recognized by the Secretary of 
Education for the granting of preaccreditation 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.
    (21) Junior or Community College means an institution of higher 
education: (a) That admits as regular students persons who are beyond 
the age of compulsory school attendance in the State in which the 
institution is located and who have the ability to benefit from the 
training offered by the institution; (b) that does not provide an 
educational program for which the institution awards a bachelor's 
degree (or an equivalent degree); and (c) that (i) provides an 
educational program for not less than 2 years in duration that is 
acceptable for full credit toward such a degree; or (ii) offers a 2-
year program in engineering, mathematics, or the physical or biological 
sciences, designed to prepare a student to work as a technician or at 
the semiprofessional level in engineering, scientific, or other 
technological fields requiring an understanding and application of 
basic engineering, scientific, or mathematical principles of knowledge.
    (22) Low-income individual means an individual from a family whose 
taxable income for the preceding year did not exceed 150 percent of an 
amount equal to the poverty level determined using criteria of poverty 
established by the Bureau of the Census.
    (23) Outreach means the use of formal and informal educational 
presentations, materials, website materials, etc. that are designed to 
inform socially disadvantaged farmers and ranchers about USDA programs, 
other relevant and pertinent programs, and improvements in farm and 
ranch management in its many dimensions with the purpose of increasing 
participation in USDA programs and rates of ownership and operation of 
farms and ranches by members of socially disadvantaged groups.
    (24) Partnering means a joint effort among two or more 
institutions, organizations and/or other entities with the capacity to 
conduct projects intended and designed to accomplish the purpose of the 
program.
    (25) Peer review means an evaluation of a proposed project for 
scientific or technical quality and relevance performed by experts with 
the scientific knowledge and technical skills to conduct the proposed 
work or to give expert advice on the merits of a project.
    (26) Peer review panel means a group of experts qualified by 
training and/or experience in particular fields to evaluate eligible 
proposals in those fields submitted under this RFA.
    (27) Performance target means expected measurable accomplishments 
that can be used to document the extent of change brought about by the 
project.
    (28) Prior approval means written approval evidencing prior consent 
by an authorized departmental officer as defined in (7) above.
    (29) Project means the particular activity within the scope of the 
program supported by a grant award.
    (30) Project period means the period, as stated in the award 
document, during which Federal sponsorship begins and ends.
    (31) Project Director means the individual responsible for the 
technical direction and management of the project, as designated by the 
awardee in the proposal and approved by the Authorized Departmental 
Officer.
    (32) Secretary means the Secretary of Agriculture and any other 
officer or employee of the Department to whom the authority involved is 
delegated.
    (33) Socially disadvantaged farmer or rancher means a farmer or 
rancher who is a member of a socially disadvantaged group.
    (34) Socially disadvantaged group means a group whose members have 
been subjected to racial or ethnic prejudices because of their identity 
as members of a group without regard to their individual qualities. 
Socially disadvantaged groups include, but are not limited to, African 
Americans, Native Americans, Alaskan Natives, Hispanics, Asians, and 
Pacific Islanders. The Secretary will determine on a case-by-case basis 
whether additional groups qualify under this definition, either at the 
Secretary's initiative or in response to a written request with 
supporting explanation.

    Done at Washington, DC this 30th day of October, 2002.
Colien Hefferan,
Administrator, Cooperative State Research, Education, and Extension 
Service.
[FR Doc. 02-28159 Filed 11-5-02; 8:45 am]
BILLING CODE 3410-22-P