[Federal Register Volume 64, Number 121 (Thursday, June 24, 1999)]
[Rules and Regulations]
[Pages 34102-34104]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-16016]
[[Page 34101]]
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Part V
Department of Agriculture
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Cooperative State Research, Education, and Extension Service
_______________________________________________________________________
7 CFR Part 3400
Special Research Grants Program; Final Rule
Federal Register / Vol. 64, No. 121 / Thursday, June 24, 1999 / Rules
and Regulations
[[Page 34102]]
DEPARTMENT OF AGRICULTURE
Cooperative State Research, Education, and Extension Service
7 CFR Part 3400
Special Research Grants Program
AGENCY: Cooperative State Research, Education, and Extension Service,
USDA.
ACTION: Final rule.
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SUMMARY: This rule amends the Special Research Grants Program
Administrative Regulations to replace references to section 2 of the
Act of August 4, 1965, with references to the Competitive, Special, and
Facilities Research Grant Act (CSFRGA), to apply to competitive and
noncompetitive grants, to include extension and educational activities
under the regulation, to shorten the maximum potential grant award
period, to require grantees to arrange for scientific peer review of
their proposed research activities and merit review of their proposed
extension and education activities prior to award, in accordance with
subsection (c)(5) of CSFRGA, as amended by section 212 of the
Agricultural Research, Extension, and Education Reform Act of 1998 (7
U.S.C. 450i(c)(5)), and to require an annual report of the results of
the research, extension, or education activity and the merit of the
results.
EFFECTIVE DATE: June 24, 1999.
FOR FURTHER INFORMATION CONTACT: Dr. Sally Rockey, Deputy
Administrator, Competitive Research Grants and Awards Management, USDA
Cooperative State Research, Education, and Extension Service, Mail Stop
2240, 1400 Independence Avenue, SW, Washington, DC 20250-2240;
telephone, (202) 401-1761; e-mail, [email protected].
SUPPLEMENTARY INFORMATION: The Cooperative State Research, Education,
and Extension Service (CSREES) published a Notice of Proposed
Rulemaking (NPRM) to amend the administrative provisions to the Special
Research Grants Program in the Federal Register on March 24, 1999 (64
FR 14348).
Background and Purpose
Under the authority of subsections (c)(1)(A) and (B) of the
Competitive, Special, and Facilities Research Grants Act, as amended (7
U.S.C. 450i), the Secretary of Agriculture is authorized to make
special grants for the conduct of research, extension or education
activities to facilitate or expand promising breakthroughs in areas of
food and agricultural sciences; promote excellence in research,
extension or education on a regional and national level; promote the
development of regional research centers; promote the research
partnership between the Department of Agriculture, colleges and
universities, research foundations, and State agricultural experiment
stations for regional research efforts; and facilitate coordination and
cooperation of research, extension, or education among States through
regional grants.
On June 23, 1998, President Clinton signed into law the
Agricultural Research, Extension, and Education Reform Act of 1998
(AREERA) (Pub. L. No. 105-185). The Competitive, Special, and
Facilities Research Grants Act, CSFRGA (formerly section 2 of the Act
of August 4, 1965, Pub. L. No. 89-106, as retitled by Section 401(a) of
the Food, Agriculture, Conservation, and Trade Act Amendments of 1991
(FACT Act Amendments), Pub. L. No. 102-237), as amended by section
212(2) of AREERA, states in subsection (c)(5) that the Secretary shall
make a grant under this authority for a research activity only if the
activity has undergone scientific peer review arranged by the grantee
in accordance with regulations promulgated by the Secretary. Likewise,
subsection (c)(5) of CSFRGA, as amended by section 212(2) of AREERA,
states that the Secretary shall make a grant under this authority for
an extension or education activity only if the activity has undergone
merit review arranged by the grantee in accordance with regulations
promulgated by the Secretary.
This rule revises section 3400.1 to expand the scope of the current
regulations to apply to all subsection (c) awards, including both
competitive and noncompetitive awards made under this authority. The
rule also revises these regulations to address extension and education
activities in addition to research activities.
Subpart C of the rule specifies the basic parameters for scientific
peer and merit review, and not detailed procedures, to provide
applicants with maximum flexibility in determining the timing and use
of resources. Applicants are free to change peer or merit review
protocols as deemed appropriate, as long as the peer or merit review
continues to meet the requirements of this rule. CSREES, however, has
reserved the right under this rule to specify the timing of submission
of the notice of completion of review.
Section 3400.20 requires that applicants provide notice acting as
certification prior to an award by CSREES that the review has been
completed. Having applicants submit only a notice of compliance, and
not the actual review documentation or results, aims to minimize the
administrative burden on the applicants. The regulations, however, do
require that the applicant retain the review documentation and,
consistent with agency assistance regulations, such documentation may
be subject to agency inspection.
Subpart D of the rule requires that recipients submit annual
reports describing the results of the research, extension, or education
activity. The agency currently requires that recipients submit annual
and final performance reports as a term and condition of each award.
The agency believes that this meets the reporting requirements added by
section 212 of AREERA.
This rule also makes technical amendments to Part 3400 to change
references to the Act of August 4, 1965, to the Competitive, Special,
and Facilities Research Grant Act as retitled by Section 401(a) of the
FACT Act Amendments. The rule also changes the maximum potential award
period for Special Grants from five (5) years to three (3) years to
conform with the amendments in section 212 of AREERA.
Public Comments and Statutory Changes
In the NPRM, CSREES invited comments on the proposed regulations
for consideration in the formulation of a final rule. Three commenters
responded.
One commenter supported efforts aimed at ensuring accountability
and the best possible return on research investments. The commenter
also encouraged the development of appropriate review mechanisms for
all U.S. agricultural research efforts. CSREES believes the rule
establishes the necessary accountability requirements to ensure that
the proposed work is reviewed for technical quality and relevance while
still allowing applicants latitude and flexibility in determining who
performs the review.
One commenter questioned the necessity of implementing many of the
requirements being imposed under the regulation, i.e., the inclusion of
extension and educational activities under the rule; the shortening of
the maximum grant period from five to three years; the requirement to
have grantees arrange for scientific peer review of proposed research
activities and merit review of proposed extension and educational
activities; and the necessity to submit an annual report within 30 days
of the project's
[[Page 34103]]
anniversary date. The regulation promulgates the legislatively mandated
requirements added by the Agricultural Research, Extension, and
Education Reform Act of 1998 (AREERA); therefore the imposed
requirements are mandatory. Although the program authority now requires
recipients to submit annual reports, the timing and nature of the
reports are not legislatively specified, consequently the requirement
in the final rule has been changed to be consistent with current agency
policy as set forth in the terms and conditions of the grant.
One commenter requested that the requirement for peer or merit
review not apply to competitive special grant programs since such a
review would duplicate efforts at the agency level. The statute makes
no provision distinguishing competitive and non-competitive grants;
therefore the agency has no discretion. However, if the institution
believes that their established organizational review process meets the
CSREES definition of peer review, then the institution may certify that
requirements for peer review have been met. The commenter suggested
that in lieu of requiring a separate notice of completion of review,
the regulation be changed so that approval by an applicant's authorized
organizational representative constitutes notice of completion of
institutional review. CSREES believes that at this point in time it
should retain the ability to designate when the notice of completion
should be submitted. However, the suggestion has merit, and CSREES
intends to facilitate the submission of the notice of completion
process by incorporating procedures into program requests for
proposals. Finally, the commenter suggested that the proposed rule at
Sec. 3400.20 be revised to allow recipients to delegate to the agency
the conduct of peer review. The legislation requires that recipients
arrange for the performance of a distinct and separate review;
consequently, CSREES cannot assume that responsibility on behalf of the
applicants.
Classification
Executive Order No. 12866
This rule has been reviewed under Executive Order No. 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. In addition, the Department certifies that the rule will not
have a significant impact on a substantial number of small entities as
defined in the Regulatory Flexibility Act, Pub. L. No. 96-354 (5 U.S.C.
601-612).
Executive Order No. 12988
This rule has been reviewed under Executive Order No. 12988, Civil
Justice Reform. No retroactive effect is to be given to this rule. This
rule does not require administrative proceedings before parties may
file suit in court.
National Environmental Policy Act
This rule 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.).
Paperwork Reduction Act
Under the provisions of the Paperwork Reduction Act of 1995, as
amended, 44 U.S.C. chapter 35, and Office of Management and Budget
(OMB) regulations at 5 CFR Part 1320, the collection of information
requirements for research activities contained in this rule have been
approved under OMB Document Nos. 0524-0022 and 0524-0033. When
appropriations are made available for extension and education
activities under this program, CSREES will fully comply with the
Paperwork Reduction Act and submit a revision to the collection of
information requirements to include these activities. Comments from
potential applicants on the collection of information may be submitted
to CSREES-USDA; Office of Extramural Programs; Policy and Program
Liaison Staff; Mail Stop 2299; 1400 Independence Avenue, S.W.;
Washington, D.C. 20250-2299 by June 23, 1999, or to the Desk Officer
for Agriculture, Office of Information and Regulatory Affairs, Office
of Management and Budget, Washington, D.C. 20502. Reference should be
made to the volume, page, and date of this Federal Register
publication.
Catalog of Federal Domestic Assistance
This 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.
List of Subjects in 7 CFR Part 3400
Grants programs--agriculture, Grants administration.
For the reasons set forth above, Part 3400 of Chapter XXXIV of
Title 7 of the Code of Federal Regulations is amended as follows:
PART 3400--SPECIAL RESEARCH GRANTS PROGRAM
1. The authority citation for part 3400 is revised to read as
follows:
Authority: 7 U.S.C. 450i(c);
2. Revise Sec. 3400.1 to read as follows:
Sec. 3400.1 Applicability of regulations.
(a) The regulations of this part apply to special research grants
awarded under the authority of subsection (c) of the Competitive,
Special, and Facilities Research Grant Act, as amended (7 U.S.C. 450i
(c)), to facilitate or expand promising breakthroughs in areas of the
food and agricultural sciences of importance to the United States.
Subparts A and B, excepting this section, apply only to special
research grants awarded under subsection (c)(1)(A). Subpart C, Peer and
Merit Review Arranged by Grantees, and Subpart D, Annual Reports, apply
to all grants awarded under subsection (c).
(b) Each year the Administrator of CSREES shall determine and
announce through publication of a Notice in such publications as 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 competitively, to the extent that funds are available.
(c) The regulations of this part do not apply to research,
extension or education grants awarded by the Department of Agriculture
under any other authority.
3. Revise Sec. 3400.7(c) to read as follows:
Sec. 3400. Use of funds; changes.
* * * * *
(c) Changes in project period. The project period determined
pursuant to Sec. 3400.5(b) may be extended by the
[[Page 34104]]
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
not exceed three (3) years (the limitation established by statute) and
shall be further 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.
* * * * *
4. Subpart C of Part 3400 is added to read as follows:
Subpart C--Peer and Merit Review Arranged by Grantees
3400.20 Grantee review prior to award.
3400.21 Scientific peer review for research activities.
3400.22 Merit review for education and extension activities.
Subpart C--Peer and Merit Review Arranged by Grantees
Sec. 3400.20 Grantee review prior to award.
(a) Review requirement. Prior to the award of a standard or
continuation grant by CSREES, any proposed project shall have undergone
a review arranged by the grantee as specified in this subpart. For
research projects, such review must be a scientific peer review
conducted in accordance with Sec. 3400.21. For education and extension
projects, such review must be a merit review conducted in accordance
with Sec. 3400.22.
(b) Credible and independent. Review arranged by the grantee must
provide for a credible and independent assessment of the proposed
project. A credible review is one that provides an appraisal of
technical quality and relevance sufficient for an organizational
representative to make an informed judgment as to whether the proposal
is appropriate for submission for Federal support. To provide for an
independent review, such review may include USDA employees, but should
not be conducted solely by USDA employees.
(c) Notice of completion and retention of records. A notice of
completion of review shall be conveyed in writing to CSREES either as
part of the submitted proposal or prior to the issuance of an award, at
the option of CSREES. The written notice constitutes certification by
the applicant that a review in compliance with these regulations has
occurred. Applicants are not required to submit results of the review
to CSREES; however, proper documentation of the review process and
results should be retained by the applicant.
(d) Renewal and supplemental grants. Review by the grantee is not
automatically required for renewal or supplemental grants as defined in
Sec. 3400.6. A subsequent grant award will require a new review if,
according to CSREES, either the funded project has changed
significantly, other scientific discoveries have affected the project,
or the need for the project has changed. Note that a new review is
necessary when applying for another standard or continuation grant
after expiration of the grant term.
Sec. 3400.21 Scientific peer review for research activities.
Scientific peer review is an evaluation of a proposed project for
technical quality and relevance to regional or national goals performed
by experts with the scientific knowledge and technical skills to
conduct the proposed research work. Peer reviewers may be selected from
an applicant organization or from outside the organization, but shall
not include principals, collaborators or others involved in the
preparation of the application under review.
Sec. 3400.22 Merit review for education and extension activities.
Merit review is an evaluation of a proposed project or elements of
a proposed program whereby the technical quality and relevance to
regional or national goals are assessed. The merit review shall be
performed by peers and other individuals with expertise appropriate to
evaluate the proposed project. Merit reviewers may not include
principals, collaborators or others involved in the preparation of the
application under review.
5. Subpart D of Part 3400 is added to read as follows:
Subpart D--Annual Reports
Sec. 3400.23 Annual reports.
(a) Reporting requirement. The recipient shall submit an annual
report describing the results of the research, extension, or education
activity and the merit of the results.
(b) Report type and content. Unless otherwise stipulated, grant
recipients will have met the reporting requirement under this subpart
by complying with the reporting requirements as set forth in the terms
and conditions of the grant at the time of award.
Done at Washington, D.C., on this 3rd day of June, 1999.
Colien Hefferan,
Acting Administrator, Cooperative State Research, Education, and
Extension Service.
[FR Doc. 99-16016 Filed 6-23-99; 8:45 am]
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