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7 C.F.R. §§ 4284.1115–4284.1120

6 sections in range

§4284.1115. RISE grant applications—content.

7 C.F.R. § 4284.1115

(a)
A potential applicant for RISE may submit a concept proposal not less than 60 days in advance of the application submittal deadline as published in the Federal Register for review by the Agency. This concept proposal will be evaluated, and an encouragement or discouragement letter will be issued to the potential applicant. If a discouragement letter is issued, it will detail any weaknesses evaluated in the Agency's review, though a complete application may still be submitted prior to the application deadline. The concept proposal may be up to 10 pages in length using a minimum of 11-point font. The concept proposal should be in a narrative format and must include the following:
(1)
Partnership information including the members and structure of the Partnership, the date formalized, and the governance or leadership board. The information will identify the lead applicant and each partner's ties to the region, their roles in the delivery of the RISE program and any history of previous collaboration between partners. The amount and source of anticipated matching funds will also be provided.
(2)
Describe the geographic region to be served including the total population, economic characteristics of the region such as unemployment rates and income levels. Industry sectors, their status, size and economic contribution to the region and all communities including metropolitan statistical areas and nonmetro low income communities within the region should be identified. The availability and planned enhancements of broadband service and other assets of the region should also be identified. If the region to be served has a population of more than 50,000 inhabitants, the applicant must document why they believe the area is “rural in character” including, but not limited to, the area's population density, demographics, and topography and how the local economy is tied to a rural economic base.
(3)
Identify the industry cluster(s) that will be prioritized by the Partnership with information on the firms and support industries in those clusters. Describe the status of the industry (as emerging, existing, or declining) any existing interconnection and networks within the industry cluster and describe participation and scale of small and disadvantaged businesses within the industry cluster. Describe the opportunities or potential of industry growth in the region and competitive advantages of the region and industry cluster should be highlighted along with opportunities within the industry for the creation of or upgrading to high-wage jobs.
(4)
An executive summary, project plan and scope of work must be provided with the applicant's strategy, activities, budget, goals and objectives for the use of RISE funds. The applicant should also provide information on the sustainability of the partnership and jobs accelerator at the conclusion of the RISE grant period.
(b)
Unless otherwise specified in a Federal Register notice, applicants may only submit one RISE grant application each Federal fiscal year.
(1)
The lead applicant must be registered in the System for Award Management (SAM) and is responsible for submitting a complete application as specified in (b)(2)(i) through (b)(2)(xiv) of this section.
(2)
There are no specific limitations on the number of pages or other formatting requirements of an application. Applicants, who submitted a concept proposal to the Agency, will not need to resubmit the information found in (b)(2)(ix) below. The Agency will review and retain this information for application submittal. A complete application will consist of the following components unless otherwise specified in a Federal Register notice:
(i)
Form SF-424, “Application for Federal Assistance;”
(ii)
Form SF-424A, “Budget Information— Non-Construction Programs,” if applicable;
(iii)
Form SF-424C, “Budget Information— Construction Programs,” if applicable;
(iv)
Form SF-424D, “Assurances— Construction Programs,” if applicable;
(v)
RD Form 400-1, “Equal Opportunity Agreement,” for construction projects only;
(vi)
Identify the ethnicity, race, and gender characteristics of the lead applicant's leadership. This information is optional and is not a required component for a complete application;
(vii)
Certification that the lead applicant is a legal entity in good standing (as applicable) and operating in accordance with the laws of the State(s) or Tribe where the applicant exists;
(viii)
The lead applicant must identify whether or not the lead applicant has a known relationship or association with an Agency employee and, if there is a known relationship, the lead applicant must identify each Agency employee with whom the lead applicant has a known relationship;
(ix)
All items required in paragraph (a) of this section must be provided with the application (applicants must provide updates, as appropriate, to any items previously submitted as a concept proposal under paragraph (a));
(x)
Readiness demonstration, which shall be comprised of the following items:
(A)
Description of readiness of all partners of the Partnership to contribute to the project including their ability to coordinate activities, finances and outcomes of the project.
(B)
Evidence of a formal agreement among partners of the Partnership for delivery of the RISE program.
(C)
Evidence of demonstrated readiness in administering the RISE grant, if awarded, including demonstration of potential success in establishment of a jobs accelerator project, which targets an industry cluster and the initiatives of the RISE grant. The application should indicate when activities related to the expected outcomes will commence.
(D)
Description of how the project will be marketed in the region and how the Partnership will capture any program impacts and success stories; and
(E)
Timeline describing the proposed tasks to be accomplished and the schedule for implementation of each task.
(xi)
Provide documentation on how the RISE project will impact the initiatives below, as applicable, including a brief description of how and when the initiative will be delivered:
(A)
Linking rural communities and entrepreneurs to markets, networks, industry clusters, and other regional opportunities to support high-wage job creation, new business formation, business expansion, and economic growth;
(B)
Integrating small businesses into a supply chain;
(C)
Creating or expanding commercialization activities for new business formation;
(D)
Identifying and building assets in rural communities that are crucial to supporting regional economies;
(E)
Facilitating the repatriation of high-wage jobs to the United States;
(F)
Supporting the deployment of innovative processes, technologies, and products;
(G)
Enhancing the capacity of small businesses in regional industry clusters, including small and disadvantaged businesses;
(H)
Increasing United States exports and business interaction with international buyers and suppliers;
(I)
Developing the skills and expertise of local workforces, entrepreneurs, and institutional partners to meet the needs of employers and prepare workers for high-wage jobs in the identified industry clusters, including the upskilling of incumbent workers;
(J)
Ensuring rural communities have the capacity and ability to carry out projects related to housing, community facilities, infrastructure, or community and economic development to support regional industry cluster growth;
(xii)
Potential to produce high-wage jobs and benefit rural small and disadvantaged businesses, including a description of the following:
(A)
Describe how the project will develop the skills and expertise of the local workforce, entrepreneurs and institutional partners to meet the needs of employers and prepare high-wage jobs in the targeted industry cluster(s), which may also include the upskilling of incumbent worker;
(B)
Demonstrate how the project will benefit the skills and expertise of small and disadvantaged businesses, as applicable;
(C)
Demonstrate any participation of higher education, applied research institutions, workforce development entities and community-based organizations, that are willing to partner with the project to provide workers with skills relevant to the industry cluster needs of the region, with an emphasis on the use of on-the-job training, classroom occupational training or incumbent worker training, as applicable; and
(D)
Demonstrate any participation of investment organizations, venture development organizations, venture capital firms, revolving loan funders, angel investment groups, community lenders, community development financial institutions, rural business investment companies, small business companies (as defined in Section 103 of the Small Business Investment Act of 1958 (15 U.S.C. 662)), philanthropic organizations, and other institutions focused on expanding access to capital, are committed partners in the job accelerator partnership and willing to potentially invest in projects emerging from the jobs accelerator.
(xiii)
Describe the targeted region, including the following information—
(A)
Provide the latest Census Bureau information on the targeted region's median household income.
(B)
Provide the latest Census Bureau information on the targeted region's educational attainment, specifically the percentage of the population who hold a bachelor's degree.
(C)
Discuss how any direct career training will be provided to existing residents of the region (existing residents being those persons who live in the region at the time of application submission).
(D)
Discuss any local support for the RISE project.
(E)
Discuss the entrepreneurial commitment to the RISE project.
(F)
Discuss any innovative processes and technologies to be utilized in the targeted industry cluster(s) of the RISE project.
(G)
Discuss the initial and continuing capital investment in the RISE project.
(H)
Discuss any demand for regional and global markets of the product and/or service provided by the targeted industry cluster.
(I)
Discuss if the region contains any areas or communities that qualify for federal initiatives.
(J)
Elaborate on the current broadband service within the region and any plans to leverage the current broadband service or enhance broadband service in the region through the RISE project.
(xiv)
Financial information, including the following—
(A)
Identification of matching funds and other sources of funds for the project. Provide written commitments for matching funds and other sources of funds at the time the application is submitted.
(B)
Current financial statements and a narrative description demonstrating financial feasibility and sustainability of the project, all of which demonstrate sufficient resources and expertise to undertake and complete the project and how the project will be sustained following completion.
(c)
Upon receipt of a complete application, the Agency will determine if the applicant and project are eligible and whether the intended outcomes described meet the requirements of the RISE program. If the application is ineligible or not feasible, the Agency will inform the applicant in writing of the reasons for the Agency's determination and no further evaluation of the application will occur.
Notes, amendments, and revision history

Source

Source: 86 FR 31589, June 15, 2021, unless otherwise noted.

Authority

Authority: 5 U.S.C. 301 and 7 U.S.C. 1989. Subpart F also issued under 7 U.S.C 1932(e). Subpart J also issued under 7 U.S.C. 1627c. Subpart K also issued under 7 U.S.C. 1632b.

Source

Source: 62 FR 42387, Aug. 7, 1997, unless otherwise noted.

§4284.1116. Reserved

7 C.F.R. § 4284.1116

Notes, amendments, and revision history

Source

Source: 86 FR 31589, June 15, 2021, unless otherwise noted.

Authority

Authority: 5 U.S.C. 301 and 7 U.S.C. 1989. Subpart F also issued under 7 U.S.C 1932(e). Subpart J also issued under 7 U.S.C. 1627c. Subpart K also issued under 7 U.S.C. 1632b.

Source

Source: 62 FR 42387, Aug. 7, 1997, unless otherwise noted.

§4284.1117. Scoring RISE grant applications.

7 C.F.R. § 4284.1117

The Agency will score each complete and eligible RISE application using the criteria specified in paragraphs (a) through (g) of this section, unless otherwise specified in a Federal Register notice, with a maximum score of 100 points possible. Points will be allowed only for factors indicated by well documented, reasonable plans which, in the opinion of the Agency, provide assurance that the items have a high probability of being accomplished. Points shall be awarded at the discretion of the Agency to scoring criteria with a minimum and maximum number of points available. Applicants that demonstrate the experience or ability to deliver the stated criteria will be awarded higher points in that criteria.
(a)
Demonstrated readiness. The Partnership demonstrated readiness in administering the RISE grant successfully and shows strong documentation indicating the potential for success in establishing a jobs accelerator project which targets an industry cluster and the initiative(s) of the RISE grant program. Points are awarded on a scale of 0 to 10 with a maximum of 10 points being awarded.
(b)
Targeted initiatives. A maximum of 15 points will be awarded for this criterion based on meeting the targeted initiatives as stated in § 4284.1115(b)(2)(xi) with action narratives outlined in the application on how and when the initiatives will be delivered. More points will be awarded for reasonable initiatives that can be delivered within 12 months of the grant award and for those projects leveraging improvements in high-speed broadband service to the region.
(c)
Project support. Points will be awarded for the strength of local support of the RISE project and entrepreneurial commitment. A maximum of 15 points can be awarded for application materials that indicate the strength of support for the RISE project. Points will be awarded from the partnership's demonstration of its sources of funding, personnel and technical resources committed to the project, and a focus on the inclusion of institutional partners expanding access to capital and willingness to potentially invest in projects emerging from the jobs accelerator. Points shall also be awarded for demonstrated resources that will sustain the project beyond the term of the RISE grant period.
(d)
Targeted region. A maximum of 20 points will be awarded for this criterion based on the region's demographics according to the latest census information. The applicant must provide adequate documentation to the latest census information to receive points.
(1)
If the targeted region has a median household income of:
(i)
50% or less of state median household income; 5 points will be awarded;
(ii)
Over 50% and up to 80% of state median household income; 3 points will be awarded.
(2)
If the targeted region residents have the educational attainment of a bachelor's degree by:
(i)
10% or less of the population; 5 points will be awarded;
(ii)
Over 10% and up to 30% of the population; 3 points will be awarded.
(3)
Existing residents of the targeted region will receive direct career training for new employment or upscaling to a high-wage job; 5 points will be awarded.
(4)
If the identified region has fewer than 50,000 residents according to the most recent decennial census; 5 points will be awarded.
(e)
RISE grant funds requested. A maximum of 10 points will be awarded for this criterion if:
(1)
The RISE grant request is for $500,000 to $750,000; 10 points will be awarded.
(2)
The RISE grant request is for over $750,000 and up to $1,000,000; 5 points will be awarded.
(f)
Regional impact. Points are awarded on a scale of 0 to 5 points for each category, with a total maximum of 20 points being awarded for this criterion. To receive points, the applicant must provide documentation to warrant strength on the following criteria, with points awarded for each:
(1)
Targeted industry(ies) in the region is classified as an emerging industry;
(2)
Applicant demonstrates that the targeted industry(ies) in the region hold a competitive advantage or will enhance their competitive advantage through the RISE project;
(3)
Applicant demonstrates that industry provides significant support of regional assets, including broadband, and provides community and economic development support within the region;
(4)
The RISE project's forecasted outcomes align with RISE objectives; and
(5)
The RISE project will target support to existing industry(ies), whose significance in the region may be stagnant or on the decline but can be enhanced through the benefits of the RISE project.
(g)
Administrator points. A maximum of 10 points will be awarded, with justification, at the discretion of the Agency Administrator, as announced in a Federal Register notice.
Notes, amendments, and revision history

Source

Source: 86 FR 31589, June 15, 2021, unless otherwise noted.

Authority

Authority: 5 U.S.C. 301 and 7 U.S.C. 1989. Subpart F also issued under 7 U.S.C 1932(e). Subpart J also issued under 7 U.S.C. 1627c. Subpart K also issued under 7 U.S.C. 1632b.

Source

Source: 62 FR 42387, Aug. 7, 1997, unless otherwise noted.

§4284.1118. Selecting RISE grant applications for award.

7 C.F.R. § 4284.1118

Unless otherwise provided for in a Federal Register notice, RISE grant applications will be evaluated, assigned priority points as described in § 4284.1117 and ranked from highest to lowest score for funding consideration, subject to the availability of funding.
Notes, amendments, and revision history

Source

Source: 86 FR 31589, June 15, 2021, unless otherwise noted.

Authority

Authority: 5 U.S.C. 301 and 7 U.S.C. 1989. Subpart F also issued under 7 U.S.C 1932(e). Subpart J also issued under 7 U.S.C. 1627c. Subpart K also issued under 7 U.S.C. 1632b.

Source

Source: 62 FR 42387, Aug. 7, 1997, unless otherwise noted.

§4284.1119. Awarding and Administering RISE Grants.

7 C.F.R. § 4284.1119

The Agency will award and administer RISE grants in accordance with departmental regulations and with the procedures and requirements specified in this part.
(a)
Bonding and insurance. The applicant must provide satisfactory evidence to the Agency that all officers of the applicant organization are authorized to receive and/or disburse Federal funds and are covered by such bonding and/or insurance requirements as are normally required by the applicant.
(b)
Letter of conditions. A letter of conditions will be prepared by the Agency, establishing conditions that must be agreed to by the applicant before any obligation of funds can occur. Upon reviewing the conditions and requirements in the letter of conditions, the applicant must complete, sign, and return the Form RD 1942-46, “Letter of Intent to Meet Conditions,” and Form RD 1940-1, “Request for Obligation of Funds,” to the Agency if it accepts the conditions of the grant; or if certain conditions cannot be met, the applicant may propose alternate conditions in writing to the Agency. The Agency must resolve or concur with any changes proposed by the applicant to the letter of conditions before the application will be further processed.
(c)
Evidence of matching funds. The applicant is responsible for providing documentation that the required matching funds for the project have been received or remain committed at the date a financial assistance agreement is executed with the Agency.
(d)
SAM requirements. Each applicant applying for grant funds (unless an exception, as outlined in 2 CFR 25.110(a) through (d), is approved by the Agency) is required to:
(1)
Be registered in SAM before submitting its application;
(2)
Provide a valid unique entity identifier in its application; and
(3)
Continue to maintain an active SAM registration with current information at all times during which it has an active Federal award or an application or plan under consideration by a Federal awarding agency.
(e)
Financial assistance agreement. Once the requirements specified in paragraphs (a) through (d) of this section have been met, the financial assistance agreement can be executed by the lead applicant and the Agency. The applicant must abide by all requirements contained in the financial assistance agreement, this subpart, and any other applicable Federal statutes or regulations. Failure to follow these requirements might result in termination of the grant and adoption of other available remedies.
(f)
Grant approval. The lead applicant will be sent an executed copy of the executed Form RD 1940-1, “Obligation of Funds,” and the financial assistance agreement.
Notes, amendments, and revision history

Source

Source: 86 FR 31589, June 15, 2021, unless otherwise noted.

Authority

Authority: 5 U.S.C. 301 and 7 U.S.C. 1989. Subpart F also issued under 7 U.S.C 1932(e). Subpart J also issued under 7 U.S.C. 1627c. Subpart K also issued under 7 U.S.C. 1632b.

Source

Source: 62 FR 42387, Aug. 7, 1997, unless otherwise noted.

§4284.1120. Servicing RISE grants.

7 C.F.R. § 4284.1120

The Agency will service RISE grants in accordance with the requirements specified in departmental regulations, the financial assistance agreement, 7 CFR part 1951, subparts E and O, other than 7 CFR 1951.709(d)(1)(i)(B)(iv), and the requirements in § 4284.1120, except as specified in paragraphs (a) through (d) of this section.
(a)
Inspections. Grantees must permit periodic inspection of the project records and operations by a representative of the Agency.
(b)
Programmatic changes. Grantees may make changes to an approved project's costs, scope, contractor, or vendor subject to the provisions specified in paragraphs (b)(1) through (3) of this section. If the changes result in lowering the project's score to below what would have qualified the application for an award, the Agency will not approve the changes.
(1)
Prior Agency approval. The grantee must obtain prior Agency approval for any change to the scope, contractor, or vendor of the approved project. Changes in project cost will require Agency approval as outlined in paragraph (b)(1)(iii) of this section.
(i)
Grantees must submit requests for programmatic changes in writing to the Agency for Agency approval.
(ii)
Failure to obtain prior Agency approval of any such change could result in such remedies as suspension, termination, and recovery of grant funds.
(iii)
Prior Agency approval is required for all increases in project costs. Prior Agency approval is required for a decrease in project cost only if the decrease would have a negative effect on the long-term viability of the project. A decrease in project cost that does not have a negative impact on long-term viability requires Agency notification prior to disbursement of funds. If project costs decrease, the Agency will reduce the grant amount, if necessary, to maintain a maximum grant amount of no greater than 80 percent of total project activities as required in § 4284.1114(a).
(2)
Changes in project cost or scope. If there is a significant change in project cost or any change in project scope, then the grantee's funding needs, eligibility, and scoring, as applicable, will be reassessed. Any decreases in Agency funds will be based on revised project costs and other factors, including Agency regulations used at the time of grant approval.
(3)
Change of contractor or vendor. When seeking a change, the grantee must submit a written request to the Agency for approval. The proposed new contractor or vendor must have qualifications and experience acceptable to the Agency. The written request must contain sufficient information to demonstrate to the Agency's satisfaction that such change maintains project integrity. If the Agency determines that project integrity continues to be demonstrated, the grantee will be allowed to make the change. If the Agency determines that project integrity is no longer demonstrated, the change will not be approved and the grantee has the following options:
(i)
Continue with the original contractor or vendor;
(ii)
Find another contractor or vendor that has qualifications and experience acceptable to the Agency to complete the project; or
(iii)
Terminate the grant by providing a written request to the Agency. No additional funding will be available from the Agency if costs for the project have increased. Any Agency decision will be provided in writing to the lead applicant.
(c)
Transfer of Applicant or Ownership. Any change to the jobs accelerator partnership prior to the obligation of funds must be approved by the Agency and will only be considered if the partnership entities are eligible in accordance with § 4284.1112. After the project is obligated and operational, the applicant grantee may request, in writing, a transfer of the financial assistance agreement to another entity. Subject to Agency approval provided in writing, the financial assistance agreement may be transferred to another entity provided:
(1)
The entity is determined by the Agency to be an eligible lead applicant entity under this subpart; and
(2)
The scope of the project for which the Agency funds will be used remain unchanged.
(d)
Disposition of acquired property. Grantees must abide by the disposition of acquired asset requirements as outlined in 2 CFR part 200 and departmental regulations.
(e)
Financial management system and records. The grantee must provide for financial management systems and maintain records as specified in paragraphs (e)(1) and (2) of this section.
(1)
Financial management system. The grantee will provide for a financial system that will include:
(i)
Accurate, current, and complete disclosure of the financial results of each grant;
(ii)
Records that identify adequately the source and application of funds for grant-supporting activities, together with documentation to support the records. Those records must contain information pertaining to grant awards and authorizations, obligations, unobligated balances, assets, liabilities, outlays, and income; and
(iii)
Effective control over and accountability for all funds. The grantee must adequately safeguard all such assets and must ensure that funds are used solely for authorized purposes.
(2)
Records. The grantee will retain financial records, supporting documents, statistical records, and all other records pertinent to the grant for a period of at least three (3) years after completion of the grant period, except that the records must be retained beyond the 3-year period if audit findings have not been resolved or if directed by the United States. The Agency and the Comptroller General of the United States, or any of their duly authorized representatives, must have access to any books, documents, papers, and records of the grantee that are pertinent to the specific grant for the purpose of making audit, examination, excerpts, and transcripts.
(f)
Audit requirements. If applicable, grantees must provide an annual audit in accordance with 2 CFR part 200, subpart F. The Agency may exercise its right to do a program audit after the end of the project to ensure that all funding supported eligible project costs.
(g)
Grant disbursement. The Agency will determine, based on the applicable departmental regulations, whether disbursement of a grant will be by advance or reimbursement. Any funds disbursed in advance of the expense shall be used within three months and the financial need substantiated in writing by the grantee. Form SF-270 or Form SF-271 must be completed by the grantee and submitted to the Agency no more often than monthly to request either an advance or reimbursement of funds.
(h)
Reporting Requirements. Financial and project performance reports must be provided by grantees and contain the information specified in paragraphs (h) (1) and (2) of this section.
(1)
Federal Financial Reports. Between grant approval and completion of project (i.e., construction), SF-425, “Federal Financial Report” will be required of all grantees as applicable on a semiannual basis. The grantee will complete the project within the total sums available to it, including the grant, in accordance with the scope of work and any necessary modifications thereof prepared by grantee and approved by the Agency.
(2)
Performance reports. Grantees shall submit a performance report semi-annually for the first two years, and then annually thereafter, with the first report submitted no later than six months after receiving a grant under this section. This report will include, but not be limited to, the following:
(i)
All activities funded with the grant funds;
(ii)
Evaluation of progress towards strategic initiatives identified in the application for the grant, including a discussion of any issues which may have occurred;
(iii)
Measurement of progress using performance measures during the project period, which may include the following:
(A)
High-wage jobs created;
(B)
High-wage jobs retained;
(C)
Private investment leveraged;
(D)
Businesses improved;
(E)
Businesses retained;
(F)
New business formations;
(G)
New products, prototypes and/or services commercialized;
(H)
Improvement of the value of existing products or services under development;
(I)
Regional collaboration as measured by the number of organizations actively engaged in the industry cluster and/or the number of symposia held by the industry cluster, including organizations that are not located in the immediate region defined by the partnership and/or the number of further cooperative agreements;
(J)
Number of educations and training activities relating to the innovation;
(K)
Number of innovative products, services and/or prototypes launched;
(L)
Number of jobs relocated from outside of the United States to the region;
(M)
Amount and number of new equity investments in industry cluster firms;
(N)
Amount and number of new loans to industry cluster firms;
(O)
Dollar increase in exports resulting from the project activities;
(P)
Percentage of employees for which training was provided;
(Q)
Improvement in sales of participating businesses;
(R)
Improvement in wages paid at participating businesses;
(S)
Improvement in income of participating workers;
(T)
Any measure determined appropriate by the Agency; and
(U)
Broadband development in the targeted region.
(iv)
Initiatives and timetable established for the next reporting period; and
(v)
Any additional information as found in the annual <I>Federal Register</I> notice.
Notes, amendments, and revision history

Source

Source: 86 FR 31589, June 15, 2021, unless otherwise noted.

Authority

Authority: 5 U.S.C. 301 and 7 U.S.C. 1989. Subpart F also issued under 7 U.S.C 1932(e). Subpart J also issued under 7 U.S.C. 1627c. Subpart K also issued under 7 U.S.C. 1632b.

Source

Source: 62 FR 42387, Aug. 7, 1997, unless otherwise noted.