[Federal Register Volume 61, Number 106 (Friday, May 31, 1996)]
[Rules and Regulations]
[Pages 27752-27759]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-13607]




[[Page 27751]]


_______________________________________________________________________

Part IV





Department of Agriculture





_______________________________________________________________________



Cooperative State Research, Education, and Extension Service



_______________________________________________________________________



7 CFR Part 3401



Rangeland Research Grants Program: Administrative Provisions; Final 
Rule

  Federal Register / Vol. 61, No. 106 / Friday, May 31, 1996 / Rules 
and Regulations  

[[Page 27752]]



DEPARTMENT OF AGRICULTURE

Cooperative State Research, Education, and Extension Service

7 CFR Part 3401


Rangeland Research Grants Program; Administrative Provisions

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

ACTION: Final rule; amendment.

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

SUMMARY: This final rule amends the Cooperative State Research, 
Education, and Extension Service (CSREES) regulations relating to the 
administration of the Rangeland Research Grants Program, which 
prescribe the procedures to be followed annually in the solicitation of 
rangeland research grant proposals, the evaluation of such proposals, 
and the award of rangeland research grants under this program. This 
rule implements the requirements of the National Environmental Policy 
Act as outlined in Sec. 3401.6(c)(16), revises the objectives of the 
program as stated in Sec. 3401.17(a), changes the agency name to 
reflect the Departmental Reorganization, and makes a few additional 
minor changes. CSREES is publishing these regulations in their entirety 
to enhance their use by the public and to ensure expeditious submission 
and processing of grant proposals.

EFFECTIVE DATE: May 31, 1996.

FOR FURTHER INFORMATION CONTACT:
Louise Ebaugh, Director, Office of Extramural Programs, Competitive 
Research Grants and Awards Management, Cooperative State Research, 
Education, and Extension Service, United States Department of 
Agriculture, Ag Box 2245, Washington, DC 20250-2245. (Telephone (202) 
401-5024).

SUPPLEMENTARY INFORMATION:

Paperwork Reduction

    The Office of Management and Budget has previously approved the 
information collection requirements contained in the current 
regulations at 7 CFR Part 3401 under the provisions of 44 U.S.C. 
Chapter 35 and OMB Document No. 0524-0022 has been assigned. Public 
reporting burden for the information collections contained in these 
regulations is estimated to vary from \1/2\ hour to 3 hours per 
response, including the time for reviewing instructions, searching 
existing data sources, gathering and maintaining the data needed, and 
completing and reviewing the collection of information. Send comments 
regarding this burden estimate or any other aspect of this collection 
of information, including suggestions for reducing this burden, to 
Department of Agriculture, Clearance Officer, OIRM, Room 404-W, 
Washington, D.C. 20250; and to the Office of Management and Budget, 
Paperwork Reduction Project (OMB Document No. 0524-0022), Washington, 
D.C. 20503.

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.

Executive Order No. 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.

Executive Order No. 12612

    This rule has been reviewed under Executive Order No. 12612 
pertaining to Federalism. While this rule will affect institutions of 
higher education and other nonprofit organizations, it will do so only 
to the extent of requiring that applicants and grantees comply with 
existing laws, regulations, public policies, and the dictates of good 
management to ensure the safeguarding of public funds. For this reason, 
CSREES has determined that this rule will not have sufficient 
Federalism implications to warrant the preparation of a Federalism 
Assessment.

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).

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 Rangeland Research Grants Program is listed in the Catalog of 
Federal Domestic Assistance under No. 10.200. 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 1480 of the National Agricultural 
Research, Extension, and Teaching Policy Act of 1977, as amended, the 
Secretary of Agriculture is authorized to make grants to land-grant 
colleges and universities, State agricultural experiment stations, and 
colleges, universities, and Federal laboratories having a demonstrable 
capacity in rangeland research, as determined by the Secretary, to 
carry out rangeland research. 7 CFR 2.107(a)(21) delegates this 
authority to the Administrator of CSREES. On April 23, 1993, the 
Rangeland Research Program regulations, 7 CFR Part 3401, were formally 
set out and published in the Federal Register. CSREES now amends the 
administrative regulations governing the Rangeland Research Grant 
Program authorized by section 1480 in order to implement the 
requirements of the National Environmental Policy Act in 
Sec. 3401.6(c)(16), revise the program objectives in Sec. 3401.17, 
change the Agency name from the Cooperative State Research Service to 
the Cooperative State Research, Education, and Extension Service, and 
make a few minor changes.
    On October 27, 1995, the Department published a Notice in the 
Federal Register (60 FR 55160-55167) proposing the amendment of this 
rule and inviting comments from interested individuals and 
organizations. Written comments were requested by November 27, 1995. No 
comments were received.

List of Subjects in 7 CFR Part 3401

    Grant programs--agriculture, Grants administration.


[[Page 27753]]


    For the reasons set out in the preamble, Title 7, Subtitle B, 
Chapter XXXIV, Part 3401 of the Code of Federal Regulations, is revised 
to read as follows:
CHAPTER XXXIV--COOPERATIVE STATE RESEARCH, EDUCATION, AND EXTENSION 
SERVICE, DEPARTMENT OF AGRICULTURE

PART 3401--RANGELAND RESEARCH GRANTS PROGRAM

Subpart A--General

Sec.
3401.1  Applicability of regulations of this part.
3401.2  Definitions.
3401.3  Eligibility requirements.
3401.4  Matching funds requirement.
3401.5  Indirect costs and tuition remission costs.
3401.6  How to apply for a grant.
3401.7  Evaluation and disposition of applications.
3401.8  Grant awards.
3401.9  Use of funds; changes.
3401.10  Other Federal statutes and regulations that apply.
3401.11  Other conditions.

Subpart B--Scientific Peer Review of Research Applications for Funding

3401.12  Establishment and operation of peer review groups.
3401.13  Composition of peer review groups.
3401.14  Conflicts of interest.
3401.15  Availability of information.
3401.16  Proposal review.
3401.17  Review criteria.

    Authority: Section 1470 of the National Agricultural Research, 
Extension and Teaching Policy Act of 1977 (7 U.S.C. 3316).

Subpart A--General


Sec. 3401.1  Applicability of regulations of this part.

    (a) The regulations of this Part apply to rangeland research grants 
awarded under the authority of section 1480 of the National 
Agricultural Research, Extension, and Teaching Policy Act of 1977, as 
amended (7 U.S.C. 3333) to land-grant colleges and universities, State 
agricultural experiment stations, and colleges, universities, and 
Federal laboratories having a demonstrable capacity in rangeland 
research, as determined by the Secretary, to carry out rangeland 
research. The Administrator of the Cooperative State Research, 
Education, and Extension Service (CSREES) shall determine and announce, 
through publication each year of a Notice in the Federal Register, 
professional trade journals, agency or program handbooks, the catalog 
of Federal Domestic Assistance or any other appropriate means, research 
program areas for which proposals will be solicited, to the extent that 
funds are available.
    (b) The regulations of this Part do not apply to research grants 
awarded by the Department of Agriculture under any other authority.


Sec. 3401.2  Definitions.

    As used in this part:
    (a) Administrator means the Administrator of CSREES and any other 
officer or employee of the Department of Agriculture to whom the 
authority involved may be delegated.
    (b) Department means the Department of Agriculture.
    (c) Principal investigator means a single individual designated by 
the grantee in the application for funding and approved by the 
Administrator who is responsible for the scientific and technical 
direction of the project.
    (d) Grantee means the entity designated in the grant award document 
as the responsible legal entity to whom a grant is awarded under this 
Part.
    (e) Research project grant means the award by the Administrator of 
funds to a grantee to assist in meeting the costs of conducting, for 
the benefit of the public, an identified project which is intended and 
designed to establish, discover, elucidate, or confirm information or 
the underlying mechanisms relating to a research program area 
identified in the annual solicitation of applications.
    (f) Project means the particular activity within the scope of one 
or more of the research program areas identified in the annual 
solicitation of applications, which is supported by a grant award under 
this Part.
    (g) Project period means the total length of time that is approved 
by the Administrator for conducting the research project as outlined in 
an approved application for funding.
    (h) Budget period means the interval of time (usually 12 months) 
into which the project period is divided for budgetary and reporting 
purposes.
    (i) Awarding official means the Administrator and any other officer 
or employee of the Department to whom the authority to issue or modify 
research project grant instruments has been delegated.
    (j) Peer review group means an assembled group of experts or 
consultants qualified by training or experience in particular 
scientific or technical fields to give expert advice, in accordance 
with the provisions of this Part, on the scientific and technical merit 
of applications for funding in those fields.
    (k) Ad hoc reviewers means experts or consultants qualified by 
training or experience in particular scientific or technical fields to 
render special expert advice, whose written evaluations of applications 
for funding are designed to complement the expertise of the peer review 
group, in accordance with the provisions of this Part, on the 
scientific or technical merit of applications for Funding in those 
fields.
    (l) Research means any systematic study directed toward new or 
fuller knowledge and understanding of the subject studied.
    (m) Methodology means the project approach to be followed and the 
resources needed to carry out the project.


Sec. 3401.3  Eligibility requirements.

    (a) Except where otherwise prohibited by law, any land-grant 
college and university, State agricultural experiment station, and 
college, university, and Federal laboratory having a demonstrable 
capacity in rangeland research, as determined by the Secretary, shall 
be eligible to apply for and to receive a project grant under this 
Part, provided that the applicant qualifies as a responsible grantee 
under the criteria set forth in paragraph (b) of this section.
    (b) To qualify as responsible, an applicant must meet the following 
standards as they relate to a particular project:
    (1) Have adequate financial resources for performance, the 
necessary experience, organizational and technical qualifications, and 
facilities, or a firm commitment, arrangement, or ability to obtain 
such (including proposed subagreements);
    (2) Be able to comply with the proposed or required completion 
schedule for the project;
    (3) Have a satisfactory record of integrity, judgment, and 
performance, including, in particular, any prior performance under 
grants and contracts from the Federal government;
    (4) Have an adequate financial management system and audit 
procedure which provides efficient and effective accountability and 
control of all property, funds, and other assets; and
    (5) Be otherwise qualified and eligible to receive a research 
project grant under applicable laws and regulations.
    (c) Any applicant who is determined to be not responsible will be 
notified in writing of such findings and the basis therefor.


Sec. 3401.4  Matching funds requirement.

    In accordance with section 1480 of the National Agricultural 
Research, Extension, and Teaching Policy Act of

[[Page 27754]]

1977, as amended (7 U.S.C. 3333), except in the case of Federal 
laboratories, each grant recipient must match the Federal funds 
expended on a research project based on a formula of 50 percent Federal 
and 50 percent non-Federal funding.


Sec. 3401.5  Indirect costs and tuition remission costs.

    Pursuant to section 1473 of the National Agricultural Research, 
Extension, and Teaching Policy Act of 1977, as amended (7 U.S.C. 3319), 
funds made available under this program to recipients other than 
Federal laboratories shall not be subject to reduction for indirect 
costs or tuition remission costs. Since indirect costs and tuition 
remission costs, except in the case of Federal laboratories, are not 
allowable costs for purposes of this program, such costs may not be 
used to satisfy the matching requirement set forth in Sec. 3401.4.


Sec. 3401.6  How to apply for a grant.

    (a) General. After consultation with the Rangeland Research 
Advisory Board, established pursuant to section 1482 of the National 
Agricultural Research, Extension, and Teaching Policy Act of 1977, as 
amended (7 U.S.C. 3335), a request for proposals will be prepared and 
announced through publications such as the Federal Register, 
professional trade journals, agency or program handbooks, the Catalog 
of Federal Domestic Assistance, or any other appropriate means of 
solicitation, as early as practicable each fiscal year. It will contain 
information sufficient to enable all eligible applicants to prepare 
rangeland research grant proposals and will be as complete as possible 
with respect to:
    (1) Descriptions of specific research program areas which the 
Department proposes to support during the fiscal year involved, 
including anticipated funds to be awarded;
    (2) Deadline dates for having proposal packages postmarked;
    (3) Name and address where proposals should be mailed;
    (4) Number of copies to be submitted;
    (5) Forms required to be used when submitting proposals; and
    (6) Special requirements.
    (b) Application kit. An Application Kit will be made available to 
any potential grant applicant who requests a copy. This kit contains 
required forms, certifications, and instructions applicable to the 
submission of grant proposals.
    (c) Format for research grant proposals. Unless otherwise stated in 
the specific program solicitation, the following format applies:
    (1) Application for funding. All research grant proposals submitted 
by eligible applicants should contain an Application for Funding form, 
which must be signed by the proposing principal investigator(s) and 
endorsed by the cognizant authorized organizational representative who 
possesses the necessary authority to commit the applicant's time and 
other relevant resources.
    (2) Title of Project. The title of the project must be brief (80-
character maximum), yet represent the major thrust of the research. 
This title will be used to provide information to the Congress and 
other interested parties who may be unfamiliar with scientific terms; 
therefore, highly technical words or phraseology should be avoided 
where possible. In addition, phrases such as ``investigation of'' or 
``research on'' should not be used.
    (3) Objectives. Clear, concise, complete, enumerated, and logically 
arranged statement(s) of the specific aims of the research must be 
included in all proposals.
    (4) Procedures. The procedures of methodology to be applied to the 
proposed research plan should be stated explicitly. This section should 
include but not necessarily be limited to:
    (i) A description of the proposed investigations and/or experiments 
in the sequence in which it is planned to carry them out;
    (ii) Techniques to be employed, including their feasibility;
    (iii) Kinds of results expected;
    (iv) Means by which data will be analyzed or interpreted;
    (v) Pitfalls which might be encountered; and
    (vi) Limitations to proposed procedures.
    (5) Justification. This section of the grant proposal should 
describe:
    (i) The importance of the problem to the needs of the Department 
and to the Nation, including estimates of the magnitude of the problem;
    (ii) The importance of starting the work during the current fiscal 
year; and
    (iii) Reasons for having the work performed by the proposing 
organization.
    (6) Literature review. A summary of pertinent publications with 
emphasis on their relationship to the research should be provided and 
should include all important and recent publications. The citations 
should be accurate, complete, written in acceptable journal format, and 
be appended to the proposal.
    (7) Current research. The relevancy of the proposed research to 
ongoing and, as yet, unpublished research of both the applicant and any 
other institutions should be described.
    (8) Facilities and equipment. All facilities, including 
laboratories, that are available for use or assignment to the proposed 
research project during the requested period of support, should be 
reported and described. Any materials, procedures, situations, or 
activities, whether or nor directly related to a particular phase of 
the proposed research, and which may be hazardous to personnel, must be 
explained fully, along with an outline of precautions to be exercised. 
All items of major instrumentation available for use or assignment to 
the proposed research project during the requested period of support 
should be itemized. In addition, items of nonexpendable equipment 
needed to conduct and bring the proposed project to a successful 
conclusion should be listed.
    (9) Collaborative arrangements. If the proposed project requires 
collaboration with other research scientists, corporations, 
organizations, agencies, or entities, such collaboration must be 
explained fully and justified. Evidence should be provided to assure 
peer reviewers that the collaborators involved agree with the 
arrangements. It should be specifically indicated whether or not such 
collaborative arrangements have the potential for any conflict(s) of 
interest. Proposals which indicate collaborative involvements must 
state which applicant is to receive any resulting grant award, since 
only one eligible applicant, as provided in Sec. 3401.3 may be the 
recipient of a research project grant under one proposal.
    (10) Research timetable. The applicant should outline all important 
research phases as a function of time, year by year.
    (11) Personnel support. All personnel who will be involved in the 
research effort must be identified clearly. For each scientist 
involved, the following should be included:
    (i) An estimate of the time commitments necessary;
    (ii) Vitae of the principal investigator(s), senior associate(s), 
and other professional personnel to assist reviewers in evaluating the 
competence and experience of the project staff. This section should 
include curricula vitae of all key persons who will work on the 
proposed research project, whether or not Federal funds are sought for 
their support. The vitae are to be no more than two pages each in 
length, excluding publication listings; and
    (iii) A chronological listing of the most representative 
publications during

[[Page 27755]]

the past five years shall be provided for each professional project 
member of whom a curriculum vitae appears under this section. 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.
    (12) Budget. A detailed budget is required for each year of 
requested support. In addition, a summary budget is required detailing 
requested support for the overall project period. A copy of the form 
which must be used for this purpose, along with instructions for 
completion, is included in the Application Kit identified under 
Sec. 3401.6(b) and may be reproduced as needed by applicants. Funds may 
be requested under any of the categories listed, provided that the item 
or service for which support is requested is allowable under applicable 
Federal cost principles and can be identified as necessary for 
successful conduct of the proposed research project. As stated in 
Sec. 3401.4 each grant recipient must match the Federal funds expended 
on a research project based on a formula of 50 percent Federal and 50 
percent non-Federal funding. As stated in Sec. 3401.5, indirect costs 
and tuition remission costs are not allowable costs for purposes of 
this program and , thus, may not be used to satisfy the matching 
requirement set forth in Sec. 3401.4.
    (13) Research involving special considerations. A number of 
situations encountered in the conduct of research require special 
information and supporting documentation before funding can be approved 
for the project. If such situations are anticipated, the proposal must 
so indicate. It is expected that a significant number of rangeland 
grant proposals will involve the following:
    (i) Recombinant DNA molecules. All key personnel identified in a 
proposal and all endorsing officials of a proposed performing entity 
are required to comply with the guidelines establishing by the National 
Institutes of Health entitled, ``Guidelines for Research Involving 
Recombinant DNA Molecules,'' as revised. The Application Kit, 
identified above in Sec. 3401.6(b), contains a form which is suitable 
for such certification of compliance. In the event a project involving 
recombinant DNA and RNA molecules results in a grant award, the 
Institutional Biosafety Committee must approve the research before 
CSREES funds will be released.
    (ii) Human subjects at risk. Responsibility for safeguarding the 
rights and welfare of human subjects used in any research project 
supported with grant funds provided by the Department rests with the 
performing entity. Regulations have been issued by the Department under 
7 CFR Part 1c, Protection of Human Subjects. In the event that a 
project involving human subjects at risk is recommended for award, the 
applicant will be required to submit a statement certifying that the 
research plan has been reviewed and approved by the Institutional 
Review Board at the proposing organization or institution. The 
Application Kit, identified above in Sec. 3401.6(b), contains a form 
which is suitable for such certification. In the event a project 
involving human subjects results in a grant award, funds will be 
released only after the Institutional Committee has approved the 
project.
    (iii) Laboratory animal care. The responsibility for the humane 
care and treatment of any laboratory animal, which has the same meaning 
as ``animal'' in section 2(g) of the Animal Welfare Act of 1966, as 
amended (7 U.S.C. 2132(g)), used in any research project supported with 
Rangeland Research Grant Program funds rests with the performing 
organization. In this regard, all key personnel identified in a 
proposal and all endorsing officials of the proposed performing entity 
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 of Agriculture in 9 
CFR Parts 1, 2, 3, and 4. In the event that a project involving the use 
of a laboratory animal is recommended for award, the applicant will be 
required to submit a statement certifying such compliance. The 
Application Kit, identified above in Sec. 3401.6(b), contains a form 
which is suitable for such certification. In the event a project 
involving the use of living vertebrate animals results in a grant 
award, funds will be released only after the Institutional Animal Care 
and Use Committee has approved the project.
    (14) Current and pending support. All proposals must list any other 
current public or private research support, in addition to the proposed 
project, to which key personnel listed in the proposal under 
consideration have committed portions of their time, whether or not 
salary support for the person(s) involved is included in the budgets of 
the various projects. This section must also contain analogous 
information for all projects underway and for pending research 
proposals which are currently being considered by, or which will be 
submitted in the near future to, other possible sponsors, including 
other Departmental programs or agencies. Concurrent submission of 
identical or similar projects to other possible sponsors will not 
prejudice its review or evaluation by the Administrator or experts or 
consultants engaged by the Administrator for this purpose. The 
Application Kit, identified above in Sec. 3401.6(b), contains a form 
which is suitable for listing current and pending support.
    (15) Additions to project description. Each project description is 
expected by the Administrator, members of peer review groups, and the 
relevant program staff to be complete in itself. However, in those 
instances in which the inclusion of additional information is 
necessary, the number of copies submitted should match the number of 
copies of the application requested in the annual solicitation of 
proposals as indicated in Sec. 3401.6(a)(4). Each set of such materials 
must be identified with the title of the research project as it appears 
in the Application for Funding and the name(s) of the principal 
investigator(s). Examples of additional materials may include 
photographs which do not reproduce well, reprints, and other pertinent 
materials which are deemed to be unsuitable for inclusion in the 
proposal.
    (16) 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 CSREES--1234) 
provided in the 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

[[Page 27756]]

cause such activity to have a significant environmental effect.
    (17) Organizational management information. Specific management 
information relating to an applicant shall be submitted on an one-time 
basis prior to the award of a research project grant identified under 
this Part if such information has not been provided previously under 
this or another program for which the sponsoring agency is responsible. 
Copies of forms recommended for use in fulfilling the requirements 
contained in this section will be provided by the agency specified in 
this Part once a research project grant has been recommended for 
funding.


Sec. 3401.7  Evaluation and disposition of applications.

    (a) Evaluation. All proposals received from eligible applicants in 
accordance with eligible research problem or program areas and 
deadlines established in the applicable request for proposals shall be 
evaluated by the Administrator through such officers, employees, and 
others as the Administrator determines are particularly qualified in 
the areas of research represented by particular projects. To assist in 
equitably and objectively evaluating proposals and to obtain the best 
possible balance of viewpoints, the Administrator may solicit the 
advice of peer scientists, ad hoc reviewers, or others who are 
recognized specialists in the research program areas covered by the 
applications received. Specific evaluations will be based upon the 
criteria established in Subpart B of this Part, Sec. 3401.17, unless 
CSREES determines that different criteria are necessary for the proper 
evaluation of proposals in one or more specific program areas, and 
announces such criteria and their relative importance in the annual 
program solicitation. The overriding purpose of such evaluations is to 
provide information upon which the Administrator can make informed 
judgments in selecting proposals for ultimate support. Incomplete, 
unclear, or poorly organized applications will work to the detriment of 
applicants during the peer evaluation process. To ensure a 
comprehensive evaluation, all applications should be written with the 
care and thoroughness accorded papers for publication.
    (b) Disposition. On the basis of the Administrator's evaluation of 
an application in accordance with paragraph (a) of this section, the 
Administrator will approve using currently available funds, defer 
support due to lack of funds or a need for further evaluations, or 
disapprove support for the proposed project in whole or in part. With 
respect to approved projects, the Administrator will determine the 
project period (subject to extension as provided in Sec. 3401.9(c)) 
during which the project may be supported. Any deferral or disapproval 
of an application will not preclude its reconsideration or a 
reapplication during subsequent fiscal years.


Sec. 3401.8  Grant awards.

    (a) General. Within the limit of funds available for such purpose, 
the awarding official shall make research project grants to those 
responsible, eligible applicants whose proposals are judged most 
meritorious in the announced program areas under the evaluation 
criteria and procedures set forth in this Part. The date specified by 
the Administrator as the beginning of the project period 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. All funds granted under this Part 
shall be expended solely for the purpose for which the funds are 
granted in accordance with the approved application and budget, the 
regulations of this Part, the terms and conditions of the award, the 
applicable Federal cost principles, and the Department's ``Uniform 
Federal Assistance Regulations'' (Parts 3015 and 3019 of this Title).
    (b) Grant award document and notice of grant award.
    (1) Grant award documents. The grant award document shall include 
at a minimum the following:
    (i) Legal name and address of performing organization or 
institution to whom the Administrator has awarded a rangeland research 
project grant under the terms of this Part;
    (ii) Title of project;
    (iii) Name(s) and address(es) of principal investigator(s) chosen 
to direct and control approved activities;
    (iv) Identifying grant number assigned by the Department;
    (v) Project period, which specifies how long the Department intends 
to support the effort without requiring recompetition for funds;
    (vi) Total amount of Departmental financial assistance approved by 
the Administrator during the project period;
    (vii) Legal authority(ies) under which the research project grant 
is awarded to accomplish the purpose of the law;
    (viii) Approved budget plan for categorizing allocable project 
funds to accomplish the stated purpose of the research project grant 
award; and
    (ix) Other information or provisions deemed necessary by the 
Department to carry out its granting activities or to accomplish the 
purpose of a particular research project grant.
    (2) Notice of grant award. The notice of grant award, in the form 
of a letter, will be prepared and will provide pertinent instructions 
or information to the grantee that is not included in the grant award 
document.
    (c) Categories of grant instruments. The major categories of grant 
instruments by which the Department may provide support are as follows:
    (1) Standard grant. This is a grant instrument by which the 
Department agrees to support a specified level of research effort for a 
predetermined project period without the announced intention of 
providing additional support at a future date. This type of research 
project grant is approved on the basis of peer review and 
recommendation and is funded for the entire project period at the time 
of award.
    (2) Renewal grant. This is a document by which the Department 
agrees to provide additional funding under a standard grant as 
specified in paragraph (c)(1) of this section for a project period 
beyond that approved in an original or amended award, provided that the 
cumulative period does not exceed the statutory limitation. When a 
renewal application is submitted, it should include a summary of 
progress to date under the previous grant instrument. Such a renewal 
shall be based upon new application, de novo peer review and staff 
evaluation, new recommendation and approval, and a new award 
instrument.
    (3) Continuation grant. This is a grant instrument by which the 
Department agrees to support a specified level of effort for a 
predetermined period of time with a statement of intention to provide 
additional support at a future date, provided that performance has been 
satisfactory, appropriations are available for this purpose, and 
continued support would be in the best interests of the Federal 
government and the public. It involves a long-term research project 
that is considered by peer reviewers and Departmental officers to have 
an unusually high degree of scientific merit, the results of which are 
expected to have a significant impact on the productivity of the 
Nation's rangelands, and it supports the efforts of experienced 
scientists with records of outstanding research accomplishments. This 
kind of document normally will be awarded for an initial one-year 
period and any subsequent continuation research project grants also 
will be awarded in one-year increments, but in no case may the 
cumulative period of

[[Page 27757]]

the project exceed the statutory limit. The award of a continuation 
research project grant to fund an initial or succeeding budget period 
does not constitute an obligation to fund any subsequent budget period. 
A grantee must submit a separate application for continued support for 
each subsequent fiscal year. Requests for such continued support must 
be submitted in duplicate at least three months prior to the expiration 
date of the budget period currently being funded. Such requests must 
include: an interim progress report detailing all work performed to 
date; an Application for Funding; a proposed budget for the enuring 
period, including an estimate of funds anticipated to remain 
unobligated at the end of the current budget period; and current 
information regarding other extramural support for senior personnel. 
Decisions regarding continued support and the actual funding levels of 
such support in future years usually will be made administratively 
after consideration of such factors as the grantee's progress and 
management practices and within the context of available funds. Since 
initial peer reviews were based upon the full term and scope of the 
original rangeland research application for funding, additional 
evaluations of this type generally are not required prior to successive 
years' support. However, in unusual cases (e.g., when the nature of the 
project or key personnel change or when the amount of future support 
requested substantially exceeds the application for funding originally 
reviewed and approved), additional reviews may be required prior to 
approval of continued funding.
    (4) Supplemental grant. This is an instrument by which the 
Department agrees to provide small amounts of additional funding under 
a standard, renewal, or continuation grant as specified in paragraphs 
(c)(1), (c)(2), and (c)(3) of this section and may involve a short-term 
(usually six months or less) extension of the project period beyond 
that approved in an original or amended award, but in no case may the 
cumulative period of the project, including short term extensions, 
exceed the statutory time limitation. A supplement is awarded only if 
required to assure adequate completion of the original scope of work 
and if there is sufficient justification of need to warrant such 
action. A request of this nature normally does not require additional 
peer review.
    (d) Obligation of the Federal government. Neither the approval of 
any application nor the award of any research project grant shall 
commit or obligate the United States in any way to make any renewal, 
supplemental, continuation, or other award with respect to any approved 
application or portion of an approved application.


Sec. 3401.9   Use of funds; changes.

    (a) Delegation of fiscal responsibility. The grantee may not 
delegate or transfer in whole or in part, to another person, 
institution, or organization the responsibility for use or expenditure 
of grant funds.
    (b) Change in project plans.
    (1) The permissible changes by the grantee, principal 
investigator(s), or other key project personnel in the approved 
research project grant shall be limited to changes in methodology, 
techniques, or other aspects of the project to expedite achievement of 
the projects' approved goals. If the grantee or the principal 
investigator(s) is uncertain as to whether a change complies with this 
provision, the question shall be referred to the Administrator for a 
final determination.
    (2) Changes in approved goals, or objectives, shall be requested by 
the grantee and approved in writing by the Department 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.
    (3) 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 Department prior to effecting 
such changes.
    (4) 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 Department prior to effecting such 
changes, except as may be allowed in the terms and conditions of a 
grant award.
    (c) Changes in project period. The project period determined 
pursuant to Sec. 3401.7(b) may be extended by the Administrator without 
additional financial support, for such additional period(s) as the 
Administrator determines may be necessary to complete, or fulfill the 
purposes of, an approved project. Any extension, when combined with the 
originally approved or amended project period, shall be conditioned 
upon prior request by the grantee and approval in writing by the 
Department, unless prescribed otherwise in the terms and conditions of 
a grant award.
    (d) Changes in approved budget. The terms and conditions of a grant 
will prescribe circumstances under which written Departmental approval 
will be requested and obtained prior to instituting changes in an 
approved budget.


Sec. 3401.10  Other Federal statutes and regulations that apply.

    Several other Federal statutes and/or regulations apply to grant 
proposals considered for review or to research project grants awarded 
under this Part. These include but are not limited to:

    7 CFR Part 1c--USDA implementation of the Federal Policy for the 
Protection of Human Subjects;
    7 CFR Part 1.1--USDA implementation of Freedom of Information 
Act:
    7 CFR Part 3--USDA implementation of OMB Circular A-129 
regarding debt collection;
    7 CFR Part 15, Subpart A--USDA implementation of Title VI of the 
Civil Rights Act of 1964;
    7 CFR Part 3015--USDA Uniform Federal Assistance Regulations, 
implementing OMB directives (i.e., Circular Nos. A-110, 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), as well as 
general policy requirements applicable to recipients of Departmental 
financial assistance;
    7 CFR Part 3017, as amended--USDA implementation of 
Governmentwide Debarment and Suspension (Nonprocurement) and 
Governmentwide Requirements for Drug-Free Workplace (Grants);
    7 CFR Part 3018--USDA implementation of New Restrictions on 
Lobbying. Imposes new 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 Uniform Administrative Requirements for 
Grants and Agreements with Institutions of Higher Education, 
Hospitals, and Other Non-profit Organizations;
    7 CFR Part 3051--Audits of Institutions of Higher Education and 
Other Nonprofit Institutions;
    7 CFR Part 3407--CSREES procedures to implement the National 
Environmental Policy Act;
    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; and
    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).


Sec. 3401.11  Other conditions.

    The Administrator may, with respect to any research project grant 
or to any class of awards, impose additional

[[Page 27758]]

conditions prior to or at the time of any award when, in the 
Administrator's judgment, such conditions are necessary to assure or 
protect advancement of the approved project, the interests of the 
public, or the conservation of grant funds.

Subpart B--Scientific Peer Review of Research Applications for 
Funding


Sec. 3401.12  Establishment and operation of peer review groups.

    Subject to Sec. 3401.7, the Administrator will adopt procedures for 
the conduct of peer reviews and the formulation of recommendations 
under Sec. 3401.16.


Sec. 3401.13  Composition of peer review groups.

    Peer review group members will be selected based upon their 
training or experience in relevant scientific or technical fields, 
taking into account the following factors:
    (a) The level of formal scientific or technical education by the 
individual;
    (b) The extent to which the individual has engaged in relevant 
research, the capacities in which the individual has done so (e.g., 
principal investigator, assistant), and the quality of such research;
    (c) Professional recognition as reflected by awards and other 
honors received from scientific and professional organizations outside 
of the Department;
    (d) The need of the group to include within its membership experts 
from various areas of specialization within relevant scientific or 
technical fields;
    (e) The need of the group to include within its membership experts 
from a variety of organizational types (e.g., universities, industry, 
private consultant(s)) and geographic locations; and
    (f) The need of the group to maintain a balanced membership, e.g., 
minority and female representation and an equitable age distribution.


Sec. 3401.14  Conflicts of interest.

    Members of peer review groups covered by this Part are subject to 
relevant provisions contained in Title 18 of the United States Code 
relating to criminal activity, Department regulations governing 
employee responsibilities and conduct (Part O of this title), and 
Executive Order 11222 (3 CFR, 1964-1965 Comp., p. 306), as amended.


Sec. 3401.15  Availability of information.

    Information regarding the peer review process will be made 
available to the extent permitted under the Freedom of Information Act 
(5 U.S.C. 552), the Privacy Act (5 U.S.C. 552a.), and implementing 
Departmental regulations (Part 1 of this title).


Sec. 3401.16  Proposal review.

    (a) All research Applications for Funding will be acknowledged. 
Prior to technical examination, a preliminary review will be made for 
responsiveness to the request for proposals (e.g., relationship of 
application to research program area). Proposals that do not fall 
within the guidelines as stated in the annual request for proposals 
will be eliminated from competition and will be returned to the 
applicant. Proposals whose budgets exceed the maximum allowable amount 
for a particular program area as announced in the request for proposals 
may be considered as lying outside the guidelines.
    (b) All applications will be reviewed carefully by the 
Administrator, qualified officers or employees of the Department, the 
respective merit review panel, and ad hoc reviewers, as required. 
Written comments will be solicited from ad hoc reviewers, when 
required, and individual written comments and in-depth discussions will 
be provided by peer review group members prior to recommending 
applications for funding. Applications will be ranked and support 
levels recommended within the limitation of total available funding for 
each research program area as announced in the applicable request for 
proposals.
    (c) Except to the extent otherwise provided by law, such 
recommendations are advisory only and are not binding on program 
officers or on the awarding official.


Sec. 3401.17  Review criteria.

    (a) Federally funded research supported under these provisions 
shall be designed to, among other things, accomplish one or more of the 
following purposes:
    (1) improve management of rangelands as an integrated system and/or 
watershed;
    (2) remedy unstable or unsatisfactory rangeland conditions;
    (3) increase revegetation and/or rehabilitation of rangelands;
    (4) examine the health of rangelands; and
    (5) define economic parameters associated with rangelands.
    (b) In carrying out its review under Sec. 3401.16, the peer review 
panel will use the following form upon which the evaluation criteria to 
be used are enumerated, unless, pursuant to Sec. 3401.7(a), different 
evaluation criteria are specified in the annual solicitation of 
proposals for a particular program:

Peer Panel Scoring Form

Proposal Identification No.--------------------------------------------
Institution and Project Title------------------------------------------

I. Basic Requirement:

    Proposal falls within guidelines? ________ Yes ________ No. If 
no, explain why proposal does not meet guidelines under comment 
section of this form.

II. Selection Criteria:

----------------------------------------------------------------------------------------------------------------
                                                                                    Score X                     
                                                         Score 1-10     Weight       weight         Comments    
                                                                        factor       factor                     
----------------------------------------------------------------------------------------------------------------
1. Overall scientific and technical quality of                                                                  
 proposal.............................................                        10                                
2. Scientific and technical quality of the approach...                        10                                
Relevance and importance of proposed research to                                                                
 solution of specific areas of inquiry................                         6                                
4. Feasibility of attaining objectives; adequacy of                                                             
 professional training and experience, facilities and                                                           
 equipment............................................                         5                                
----------------------------------------------------------------------------------------------------------------

Score------------------------------------------------------------------
Summary Comments-------------------------------------------------------

[[Page 27759]]

    (c) Proposals satisfactorily meeting the guidelines will be 
evaluated and scored by the peer review panel for each criterion 
utilizing a scale of 1 through 10. A score of one (1) will be 
considered low and a score of ten (10) will be considered high for each 
selection criterion. A weighted factor is used for each criterion.

    Done at Washington, D.C., this 23rd day of May, 1996.
B.H. Robinson
Administrator, Cooperative State Research, Education, and Extension 
Service.
[FR Doc. 96-13607 Filed 5-30-96; 8:45 am]
BILLING CODE 3410-22-M