[Federal Register Volume 60, Number 236 (Friday, December 8, 1995)]
[Rules and Regulations]
[Pages 63368-63370]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 95-29787]
[[Page 63367]]
_______________________________________________________________________
Part III
Department of Agriculture
_______________________________________________________________________
Cooperative State Research, Education, and Extension Service
_______________________________________________________________________
7 CFR Parts 3200 and 3411
National Cooperative Research Initiative Grants Program: Administrative
Provisions; Requirements for Agricultural Research Enhancement Awards;
Final Rule
Federal Register / Vol. 60. No. 236 / Friday, December 8, 1995 /
Rules and Regulations
[[Page 63368]]
DEPARTMENT OF AGRICULTURE
Cooperative State Research, Education, and Extension Service
7 CFR Parts 3200, 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: Final rule; amendment.
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SUMMARY: This final rule amends the Cooperative State Research,
Education, and Extension Service (CSREES) 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.
EFFECTIVE DATE: November 27, 1995.
FOR FURTHER INFORMATION CONTACT:
Sally Rockey, Acting Deputy Administrator, CSREES, USDA, AG Box 2240,
Washington, D.C. 20250-2240. Telephone: (202) 401-1761.
SUPPLEMENTARY INFORMATION:
Paperwork Reduction
Information collection for this rule has previously been approved
by the Office of Management and Budget (OMB) under the Paperwork
Reduction Act of 1980 (44 U.S.C. 3501-3520), and assigned OMB control
numbers 0524-0022 and 0524-0033. This amendment does not change this
information collection burden.
Classification
This 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 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 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 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 Purposes
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, P.L.
103-354, redelegated this authority to the Administrator of the CSREES.
This 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. Section 3411.3(d)(3)(ii)(C) has been
changed from the proposed rule so that appointments to degree-granting
institutions do not have to be full-time.
Discussion of Comments
Section 3411.2 Definitions
One respondent suggested including the following: ``All proposed
research should support the mission of generating new knowledge
relevant to the agricultural, food, and natural resources sector of the
economy.'' CSREES agrees with the proposed statement, but notes that
this idea is conveyed in Sec. 3200.1 and therefore that an additional
statement is unnecessary.
List of subjects in 7 CFR Part 3411
Grant Programs--Agriculture, Grants administration.
For the reasons set forth in the preamble, CSREES amends 7 CFR
Chapters XXXII and XXXIV as follows:
PART 3200--[REDESIGNATED AS PART 3411]
1. Part 3200 is 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:
[[Page 63369]]
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, the term ``National Competitive
Research Initiative Grants Program'' is revised to read ``National
Research Initiative Competitive Grants Program'' in Sec. 3411.1(a).
4. In newly redesignated part 3411, the term ``NCRIGP'' is revised
to read ``NRICGP'', each time it appears in Secs. 3411.1(a) and
3411.4(c)(9)(iii).
5. In newly redesignated part 3411, the term ``Grant Application
Kit'' is revised to read ``NRICGP Application Kit'' each time it
appears in Sec. 3411.4(b) introductory text, (c)(1), (8), (9) (i), (ii)
and (iii).
6. Newly redesignated section 3411.2 is amended by revising the
introductory text, adding new paragraphs (l)(1), (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 specified in the annual
program solicitation.
(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.
7. Newly redesignated section 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 received 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 and
colleges for receiving Federal funds for science and engineering
research as specified in the annual program solicitation; or
(B) non-degree granting institutions.
(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 NRICGP competitive research grant
within the last five years as evidenced by an investigator listing on a
prior Form CSRS-661 (an investigator may have received a Seed Grant,
Research Career Enhancement Award, Equipment Grant, or Postdoctoral
Fellowship and still be eligible to receive a Strengthening Standard
Research Project Award);
(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 and colleges for receiving Federal funds
for science and engineering research as specified in the annual program
solicitation 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 an appointment at a degree granting institution.
8a. The heading of paragraph (c)(1) of newly redesignated
Sec. 3411.4 is revised to read as set forth below, and in paragraph
(c)(1), the words ``a Grant Application cover page'' are revised to
read ``an Application for Funding form''.
b. 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
revising the term ``Institutional Review Board'' to read
``Institutional Committee'' in paragraph (c)(9)(ii), by adding a new
last sentence to paragraph (c)(9)(iii), and adding new
[[Page 63370]]
paragraphs (c) (13) and (14) to read as follows:
Sec. 3411.4 How to apply for a grant.
* * * * *
(c) * * *
(1) Application for Funding form. * * *
* * * * *
(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.
(14) 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 section 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 section 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 specified in the annual program solicitation.
Done at Washington, D.C., this 1st day of December 1995.
Colien Hefferan,
Acting Administrator, Cooperative State Research, Education, and
Extension Service.
[FR Doc. 95-29787 Filed 12-7-95; 8:45 am]
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