[Federal Register Volume 60, Number 91 (Thursday, May 11, 1995)]
[Proposed Rules]
[Pages 25594-25596]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-11577]
[[Page 25593]]
_______________________________________________________________________
Part VIII
Department of Agriculture
_______________________________________________________________________
Cooperative State Research, Education, and Extension Service
_______________________________________________________________________
7 CFR Parts 3200 and 3411
National Competitive Research Initiative Grants Program; Administrative
Provisions; Requirements for Agricultural Research Enhancement Awards;
Proposed Rule
Federal Register / Vol. 60, No. 91, Thursday, May 11, 1995 / Proposed
Rules
[[Page 25594]]
DEPARTMENT OF AGRICULTURE
Cooperative State Research, Education, and Extension Service
7 CFR Parts 3200 and 3411
National Competitive Research Initiative Grants Program (also
known as the National Research Initiative Competitive Grants Program);
Administrative Provisions; Requirements for Agricultural Research
Enhancement Awards
AGENCY: Cooperative State Research, Education, and Extension Service,
USDA.
ACTION: Notice of proposed rulemaking.
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SUMMARY: The Cooperative State Research, Education, and Extension
Service (CSREES) proposes to amend its regulations relating to the
administration of the National Research Initiative Grants Competitive
Program (NRICGP) (referred to in 7 CFR Part 3200 as the National
Competitive Research Initiative Grants Program) that prescribe the
procedures to be followed annually in the solicitation of competitive
grant proposals, the evaluation of such proposals, and the award of
competitive research grants under this program. This action amends
those regulations to redesignate 7 CFR Part 3200 as Part 3411, to
change the legal name of the program to the National Research
Initiative Competitive Grants Program, to clarify certain aspects of
the program, and to add eligibility requirements for the Agricultural
Research Enhancement Awards.
DATES: Comments are invited from interested individuals and
organizations. To be considered in the formulation of a final rule, all
relevant material must be received on or before June 12, 1995.
ADDRESSES: Comments should be sent to Colien Hefferan, Acting Deputy
Administrator, CSREES, USDA, AG Box 2240, Washington, D.C. 20250-2240.
FOR FURTHER INFORMATION CONTACT:
Colien Hefferan at (202) 401-1761.
SUPPLEMENTARY INFORMATION:
Classification
This proposed rule has been reviewed under Executive Order 12866
and it has been determined that it is not a ``significant regulatory
action'' rule because it will not have an annual effect on the economy
of $100 million or more or adversely and materially affect a sector of
the economy, productivity, competition, jobs, the environment, public
health or safety, or State, local, or tribal governments or
communities. This proposed rule will not create any serious
inconsistencies or otherwise interfere with any actions taken or
planned by another agency. It will not materially alter the budgetary
impact of entitlements, grants, user fees or loan programs and does not
raise novel legal or policy issues arising out of legal mandates, the
President's priorities, or principles set forth in Executive Order No.
12866.
Regulatory Flexibility Act
The Department certifies that this proposed rule will not have a
significant impact on a substantial number of small entities as defined
in the Regulatory Flexibility Act, Pub. L. No. 96-534 (5 U.S.C. 601 et
seq.).
Executive Order 12778
The following information is given in compliance with Executive
Order No. 12778. All State and local laws and regulations that are in
conflict with this rule are preempted. No retroactive effect is to be
given to this rule. This rule does not require administrative
proceedings before parties may file suit in court.
Regulatory Analysis
Not required for this rulemaking.
Environmental Impact Statement
This proposed regulation does not significantly affect the
environment. Therefore, an environmental impact statement is not
required under the National Environmental Policy Act of 1969, as
amended (42 U.S.C. 4321 et. seq.).
Catalog of Federal Domestic Assistance
The NRICGP is listed in the Catalog of Federal Domestic Assistance
under No. 10.206. For reasons set forth in the Final Rule-related
Notice to 7 CFR part 3015, subpart V (48 FR 29115, June 24, 1983), this
program is excluded from the scope of Executive Order 12372 which
requires intergovernmental consultation with State and local officials.
Background and Purpose
Under the authority of section 2(b) of the Act of August 4, 1965,
Pub. L. No. 89-106, as amended (7 U.S.C. 450i(b)) (the Act), the
Secretary of Agriculture is authorized to make competitive grants to
State Agricultural Experiment Stations, all colleges and universities,
other research institutions and organizations, Federal agencies,
private organizations or corporations, and individuals to further the
programs of the Department of Agriculture and to improve research
capabilities in agricultural, food, and environmental sciences. Section
2(b) of the Act also authorizes the Secretary of Agriculture to make a
variety of competitive grants to improve research capabilities in the
agricultural, food, and environmental sciences.
The NRICGP was created pursuant to this authority. Pursuant to 7
CFR 2.107(a)(7), the Secretary delegated this authority to the
Administrator of the Cooperative State Research Service. The Secretary
of Agriculture's memorandum 1010-1 of October 20, 1994, implementing
the reorganization authorities contained in the Federal Crop Insurance
Reform and Department of Agriculture Reorganization Act of 1994, Pub.
L. 103-354, redelegated this authority to the Administrator of the
CSREES.
This proposed rule moves this part from 7 CFR Chapter XXXII to 7
CFR Chapter XXXIV, changes the name of the program, adds additional
definitions for ``fundamental research,'' ``mission-linked research,''
and ``multidisciplinary research'' to the NRICGP administrative
provisions, and establishes eligibility requirements for the
Agricultural Research Enhancement Awards program. The planned effective
date for this proposed rule is October 1, 1995, or 30 days from the
date of publication of the final rule, whichever comes later.
List of Subjects in 7 CFR Part 3411
Grant Programs--Agriculture, Grants administration.
For the reasons set forth in the preamble, CSREES proposes to amend
7 CFR Chapters XXXII and XXXIV as follows:
PART 3200--[REDESIGNATED AS PART 3411]
1. Part 3200 redesignated as Part 3411 and moved from Chapter XXXII
to Chapter XXXIV.
2. The authority citation for newly redesignated part 3411 is
revised to read as follows:
Authority: Sec. 2(i) of the Act of August 4, 1965, as amended (7
U.S.C. 450i(i)).
3. In newly redesignated part 3411, all references to ``National
Competitive Research Initiative Grants Program'' are revised to read
``National Research Initiative Competitive Grants Program'', and all
references to ``NCRIGP'' are revised to read ``NRICGP''.
4. In newly redesignated part 3411, all references to ``Grant
Application Kit'' are revised to read ``NRICGP Application Kit''.
5. Newly redesignated section 3411.2 is amended by revising the
first sentence, adding new paragraphs (l)(1), [[Page 25595]] (l)(2),
and (l)(3) and adding new paragraphs (n) and (o) to read as follows:
Sec. 3411.2 Definitions.
As used in this part and in annual program solicitations issued
pursuant to this part:
* * * * *
(l) * * *
(1) Fundamental research, as referred to annually in the program
solicitation, means research that tests scientific hypotheses and
provides basic knowledge which allows advances in applied research and
from which major conceptual breakthroughs are expected to occur.
(2) Mission-linked research, as referred to annually in the program
solicitation, means research on specifically identified agricultural
problems which, through a continuum of efforts, provides information
and technology that may be transferred to users and may relate to a
product, practice, or process.
(3) Multidisciplinary research, as referred to annually in the
program solicitation, means research in which investigators from two or
more disciplines are collaborating closely. These collaborations, where
appropriate, may integrate the biological, physical, chemical, or
social sciences.
* * * * *
(n) Small and mid-sized institution means an academic institution
with a total enrollment of 15,000 or less. An institution in this
instance is an organization that possesses a significant degree of
academic and administrative autonomy, as determined by reference to the
most recent issue of the Codebook for Compatible Statistical Reporting
of Federal Support to Universities, Colleges, and Nonprofit
Institutions, prepared by Quantum Research Corporation for the National
Science Foundation. This incorporation by reference was approved by the
Director of the Federal Register in accordance with 5 U.S.C. 552(a) and
1 CFR part 51. Copies may be obtained from Quantum Research
Corporation, 7315 Wisconsin Avenue, Suite 631W, Bethesda, MD 20814.
Copies may be inspected at USDA, CSREES, NRICGP, 901 D. St., SW., Suite
323, Washington, DC.
(o) USDA-EPSCoR States (Experimental Program for Stimulating
Competitive Research) means States which have had a funding level from
the USDA NRICGP no higher than the 38th percentile of all States, based
on a three-year rolling average, and all United States territories and
possessions. A list of eligible states is published annually in the
program solicitation.
6. Newly redesignated Sec. 3411.3 is amended by adding paragraph
(d) as follows:
Sec. 3411.3 Eligibility requirements.
* * * * *
(d) Agricultural Research Enhancement Awards. In addition to
paragraphs (a), (b), and (c) of this section, the following eligibility
requirements apply to Agricultural Research Enhancement Awards (Program
reserves the right to specify funding limitations and administrative
requirements each year in the program solicitation):
(1) Postdoctoral Fellowships. In accordance with Section 2(b)(3)(D)
of the Act of August 4, 1965, as amended, individuals who have recently
received or will soon receive their doctoral degree may submit
proposals for postdoctoral fellowships. The following eligibility
requirements apply:
(i) The doctoral degree of the applicant must be received not
earlier than January 1 of the fiscal year three years prior to the
submission of the proposal and not later than June 15 of the fiscal
year during which the proposal is submitted;
(ii) The individual must be a citizen of the United States; and
(iii) The proposal must contain:
(A) Documentation that arrangements have been made with an
established investigator to serve as mentor;
(B) Documentation that arrangements have been made for the
necessary facilities, space, and materials for conduct of the research;
and
(C) Documentation from the host institution's authorized
organizational representative indicating that the host institution
concurs with these arrangements.
(2) New Investigator Awards. Pursuant to Section 2(b)(3)(E) of the
Act of August 4, 1965, as amended, investigators or co-investigators
who are beginning their research careers, do not have an extensive
research publication record, and have less than 5 years of post-
graduate, career-track research experience may submit proposals as new
investigators. Applicants may not have received competitively-awarded
Federal research funds beyond the level of pre-or postdoctoral research
awards.
(3) Strengthening Awards. Applicants that are eligible for any
grant under this part may also be eligible for Equipment Grants,
Research Career Enhancement Awards, Seed Grants, and Strengthening
Standard Research Project Awards pursuant to Sections 2(b)(3)(D) and
(F) of the Act of August 4, 1965, as amended, subject to the following
limitations on such eligibility:
(i) Equipment Grants. The following organizations are ineligible to
apply for Equipment grants:
(A) Institutions which are among the top 100 universities for
receiving Federal funds for science and engineering research as listed
in the most recent release of Selected Data on Federal Support to
Universities and Colleges (National Science Foundation); or
(B) non-degree granting institutions. This incorporation by
reference was approved by the Director of the Federal Register in
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be
obtained from the Division of Science Resource Studies, National
Science Foundation, Arlington, VA 22230. Copies may be inspected at
USDA, CSREES, NRICGP, 901 D St., SW., Suite 323, Washington, DC.
(ii) Research Career Enhancement Awards, Seed Grants, and
Strengthening Standard Research Project Awards. The following
eligibility requirements apply to Research Career Enhancement Awards,
Seed Grants, and Strengthening Standard Research Project Awards:
(A) No investigator listed on the Application For Funding (Form
CSRS-661) may have received a USDA competitive research grant within
the last five years as evidenced by an investigator listing on a prior
Form CSRS-661;
(B) All investigators listed on the Application For Funding (Form
CSRS-661) must be from a small or mid-sized institution that is not
among the top 100 universities for receiving Federal funds for science
and engineering research (as listed in the most recent release of
Selected Data on Federal Support to Universities and Colleges (National
Science Foundation)) or must be from an institution located in a USDA-
EPSCoR state; and
(C) Every investigator listed on the Application For Funding (Form
CSRS-661) must have a full-time appointment at a degree granting
institution. This incorporation by reference was approved by the
Director of the Federal Register with 5 U.S.C. 552(a) and 1 CFR part
51. Copies may be obtained from the Division of Science Resource
Studies, National Science Foundation, Arlington, VA 22230. Copies may
be inspected at USDA, CSREES, NRICGP, 901 D. St., SW., Suite 323,
Washington, DC.
7. Paragraph (c)(1) of newly redesignated Sec. 3411.4 is amended by
revising all references to ``Grant Application Cover Page'' to read
``Application for Funding form''. [[Page 25596]]
8. Newly redesignated Sec. 3411.4 is further amended by revising
the last sentence of paragraph (c)(4), adding three new sentences at
the end of paragraph (c)(8), adding a new last sentence to paragraph
(c)(9)(i), and adding a new last sentence to paragraph (c)(9)(ii), by
replacing ``Institutional Review Board'' with ``Institutional
Committee'' in paragraph (c)(9)(ii), by adding a new last sentence to
paragraph (c)(9)(iii), and adding a new paragraph (c)(13) to read as
follows:
Sec. 3411.4 How to apply for a grant.
* * * * *
(c) * * *
(4) Facilities and equipment. * * * In addition, requested items of
nonexpendable equipment necessary to conduct and successfully conclude
the proposed project should be listed (including dollar amounts), and,
if funds are requested for their acquisition, justified on a separate
sheet of paper and attached to the budget.
* * * * *
(8) Budget. * * * Equipment grants may not exceed 50 percent of the
cost of the equipment to be acquired. Equipment grant funds also may
not be used for installation, maintenance, warranty, or insurance
expenses. Indirect costs are not permitted on Equipment grants.
(9) Research involving special considerations. * * *
(i) Recombinant DNA and RNA molecules. * * * In the event a project
involving recombinant DNA and RNA molecules results in a grant award, a
qualified Institutional Biosafety Committee must approve the research
before CSREES funds will be released.
(ii) Human subjects at risk. * * * In the event a project involving
human subjects results in a grant award, funds will be released only
after a qualified Institutional Committee has approved the project.
(iii) Experimental vertebrate animal. * * * In the event a project
involving the use of living vertebrate animals results in a grant
award, funds will be released only after a qualified Institutional
Animal Care and Use Committee has approved the project.
* * * * *
(13) National Environmental Policy Act. As outlined in CSREES's
implementing regulations of the National Environmental Policy Act of
1969 (NEPA) at 7 CFR Part 3407, environmental data or documentation for
the proposed project is to be provided to CSREES in order to assist
CSREES in carrying out its responsibilities under NEPA. These
responsibilities include determining whether the project requires an
Environmental Assessment or an Environmental Impact Statement or
whether it can be excluded from this requirement on the basis of
several categorical exclusions listed in 7 CFR Part 3407. In this
regard, the applicant should review the categories defined for
exclusion to ascertain whether the proposed project may fall within one
or more of the exclusions, and should indicate if it does so on the
National Environmental Policy Act Exclusions Form (Form CSRS-1234)
provided in the NRICGP Application Kit. Even though the applicant
considers that a proposed project may fall within a categorical
exclusion, CSREES may determine that an Environmental Assessment or an
Environmental Impact Statement is necessary for a proposed project
should substantial controversy on environmental grounds exist or if
other extraordinary conditions or circumstances are present that may
cause such activity to have a significant environmental effect.
9. Newly redesignated Sec. 3411.6 is amended by adding paragraph
(f) as follows:
Sec. 3411.6 Grant awards.
* * * * *
(f) Current Research Information Service (CRIS). For each project
funded, CRIS Form AD-416, ``Research Work Unit/Project Description-
Research Resume'' and CRIS Form AD-417, ``Research Work Unit/Project
Description-Classification of Research'' and specific instructions for
their completion will be sent to the grantee for completion and return.
Grant funds will not be released until the completed forms are received
in CSREES.
10. Newly redesignated Sec. 3411.8 is amended by adding the
following additional applicable regulation:
Sec. 3411.8 Other Federal statutes and regulations that apply.
* * * * *
7 CFR Part 3051--Audits of Institutions of Higher Education and Other
Nonprofit Institutions
11. Newly redesignated section 3411.12 is amended by redesignating
the current paragraph as paragraph (a) and by adding a new paragraph
(b) as follows:
Sec. 3411.12 Conflicts of interest.
* * * * *
(b) Reviewers may not review proposals submitted by institutions or
other entities with which they have an affiliation or in which they
have an interest. For the purposes of determining whether such a
conflict exists, an institution shall be considered as an organization
if it possesses a significant degree of academic and administrative
autonomy, as determined by reference to the most recent issue of the
Codebook for Compatible Statistical Reporting of Federal Support to
Universities, Colleges, and Nonprofit Institutions, prepared by Quantum
Research Corporation. This incorporation by reference will be submitted
for approval by the Director of the Federal Register prior to
publication of the final rule in accordance with 5 U.S.C. 552(a) and 1
CFR part 51. Copies may be obtained from Quantum Research Corporation,
7315 Wisconsin Avenue, Suite 631W, Bethesda, MD 20814. Copies may be
inspected at USDA, CSREES, NRICGP, 901 D. St., SW., Suite 323,
Washington, DC.
Done at Washington, DC, this 5th day of May.
William D. Carlson,
Acting Administrator, Cooperative State Research, Education, and
Extension Service.
[FR Doc. 95-11577 Filed 5-10-95; 8:45 am]
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