[Federal Register Volume 73, Number 149 (Friday, August 1, 2008)]
[Rules and Regulations]
[Pages 44897-44909]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E8-17594]
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Rules and Regulations
Federal Register
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Federal Register / Vol. 73, No. 149 / Friday, August 1, 2008 / Rules
and Regulations
[[Page 44897]]
DEPARTMENT OF AGRICULTURE
Cooperative State Research, Education, and Extension Service
7 CFR Part 3430
RIN 0524-AA28
Competitive and Noncompetitive Non-formula Grant Programs--
General Grant Administrative Provisions and Program-Specific
Administrative Provisions for the Specialty Crop Research Initiative
AGENCY: Cooperative State Research, Education, and Extension Service,
USDA.
ACTION: Interim Rule and request for comments.
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SUMMARY: The Cooperative State Research, Education, and Extension
Service (CSREES) is publishing one set of administrative requirements
that contain elements common to all of the competitive and
noncompetitive non-formula grant programs the Agency administers as an
interim rule. Although this interim rule becomes effective on the date
of publication, CSREES is requesting comments for a 60-day period as
identified below. In a relatively short period of time, this will allow
CSREES to apply basic rules to grant programs that are currently
operating without them, including new non-formula grant programs
created by the passage of the Food, Conservation, and Energy Act of
2008 (FCEA) (Pub. L. 110-234) and to efficiently implement changes to
programs with existing regulations as required by FCEA. The provisions
in subparts A through E will serve as a single Agency resource
codifying current practices simply and coherently for almost all CSREES
competitive and noncompetitive non-formula grant programs except the
Small Business Innovation Research (SBIR) Program. As specific rules
are developed for each CSREES grant program, CSREES will propose adding
a subpart for that Federal assistance program to this regulation. This
interim rule is being published with a first set of program-specific
grant regulations as subpart F for the Specialty Research Crop
Initiative, authorized under section 7311 of FCEA.
DATES: This interim rule is effective August 1, 2008. The Agency must
receive comments on or before September 30, 2008.
ADDRESSES: You may submit comments, identified by RIN 0524-AA28, by any
of the following methods:
Federal eRulemaking Portal: http://www.regulations.gov. Follow the
instructions for submitting comments.
E-mail: [email protected]. Include Regulatory Information Number
(RIN) number 0524-AA28 in the subject line of the message.
Fax: 202-401-7752.
Mail: Paper, disk or CD-ROM submissions should be submitted to
Cooperative State Research, Education, and Extension Service, U.S.
Department of Agriculture, STOP 2299, 1400 Independence Avenue, SW.,
Washington, DC 20250-2299.
Hand Delivery/Courier: Cooperative State Research, Education, and
Extension Service, U.S. Department of Agriculture, Room 2258,
Waterfront Centre, 800 9th Street, SW., Washington, DC 20024.
Instructions: All submissions received must include the agency name
and the RIN for this rulemaking. All comments received will be posted
without change to http://www.regulations.gov, including any personal
information provided.
FOR FURTHER INFORMATION CONTACT: Erin Daly, Policy Section Leader,
Office of Extramural Programs, Cooperative State Research, Education,
and Extension Service, U.S. Department of Agriculture, STOP 2299, 1400
Independence Avenue, SW., Washington, DC 20250-2299; Voice: 202-401-
3319; Fax: 202-401-7752; E-mail: [email protected].
SUPPLEMENTARY INFORMATION:
I. Background and Summary
Authority
This rulemaking is authorized by section 1470 of the National
Agricultural Research, Extension, and Teaching Policy Act of 1977
(NARETPA), as amended, Public Law 95-113 (7 U.S.C. 3101 et seq.). It
furthers the streamlining and standardization efforts initiated by the
Federal Financial Assistance Management Improvement Act of 1999, Public
Law 106-107 (31 U.S.C. 6101 note) which sunset in November 2007, and is
in accordance with the efforts of CSREES and the U.S. Department of
Agriculture (USDA) to streamline and simplify the entire grants process
while meeting the ever-increasing accountability and transparency
standards.
Context
CSREES has published administrative provisions specific to some of
the non-formula grant programs it administers. These provisions appear
in Parts 3400, Special Research Grants Program; 3401, Rangeland
Research Grants Program; 3402, Food and Agricultural Sciences National
Needs Graduate and Postgraduate Fellowship Grants Program; 3405, Higher
Education Challenge Grants Program; 3406, 1890 Institution Capacity
Building Grants Program; 3411, National Research Initiative Competitive
Grants Program; and 3415, Biotechnology Risk Assessment Research Grants
Program of 7 CFR. This interim rule will not apply to the Small
Business Research Innovation (SBIR) Program with implementing
regulations codified at 7 CFR 3403. Where the interim administrative
provisions conflict with existing regulations for CSREES administered
non-formula grant programs, the existing regulations (i.e., 7 CFR parts
3400 through 3402, 3405, 3406, 3411, and 3415) for these programs will
supersede until the regulation is cancelled or the subpart for that
specific program is promulgated under this part.
Purpose
A primary function of CSREES is the fair, effective, and efficient
administration of Federal assistance programs implementing agricultural
research, education, and extension programs. The Agency's development
and publication of regulations for its non-formula grant programs
enhance its accountability and standardize procedures across the grant
programs it administers while providing transparency to the public.
More than
[[Page 44898]]
thirty grant programs administered by CSREES are not currently governed
by administrative provisions; and CSREES' existing administrative
provisions fail to take advantage of basic similarities between non-
formula grant programs and the Federal government-wide efforts to
standardize and streamline the entire grant process from pre-award
through closeout and post-award. The cumulative effect is duplicative,
confusing language, contrary to the needs and demands of applicants and
grantees for consistent and clear grant policies and procedures.
This rulemaking attempts to solve the problem by addressing the
elements common to all of the competitive and noncompetitive grant
programs CSREES administers. In this way, the Agency can apply basic
rules to grant programs that are currently operating without them as
well as quickly implement regulations for any new program. In addition,
this rule will serve as a single resource, except for the SBIR and
formula grant programs, that codifies current processes simply and
coherently.
This interim rule will allow CSREES to finally document and codify
the grant policies and business practices it sought to standardize and
streamline in concert with other Federal grant-making agencies in
response to various laws (including Pub. L. 106-107), regulations, and
Presidential, Departmental, and Agency directives and initiatives. As
of fiscal year 2008, CSREES publishes program solicitations or Requests
For Applications (RFAs) in an Agency-wide template (incorporating the
Federal government-wide requirements and standards) on the Grants.gov
web site; accepts all applications (using the SF-424 form families) via
Grants.gov; requires all competitive and noncompetitive non-formula
programs to submit all progress and final technical reports via the
Current Research Information System (CRIS); and as of July 1, 2008,
implemented a more comprehensive and updated set of award terms and
conditions that are consistent with other Federal grant-making
agencies, yet address the unique needs of CSREES programs and USDA and
CSREES business practices. These interim rules also address various
issues related to audit findings and recommendations from the USDA
Office of Inspector General (e.g., timely closeout of expired awards
and restriction of grant funds 90 days after the expiration date). In
response to Office of Management and Budget (OMB) Circular A-123 on
Internal Controls, Improper Payment Information Act (IPIA), and other
oversight and monitoring requirements, CSREES is seeking to clearly
establish and implement monitoring and oversight procedures and systems
to ensure that Federal assistance funds are being efficiently and
effectively expended in accordance with program authorities and Federal
assistance laws and regulations.
Alternatives
CSREES considered publishing separate rules for each uncovered
grant program. However, this would defeat the purposes of recent laws,
regulations, and Presidential, Departmental, and Agency initiatives to
standardize and streamline the entire grant cycle. Furthermore, it
would be a time consuming practice to draft and publish a final rule
for each uncovered program. On the other hand, this interim rule
provides clearer, more consistent and effective grant policies and
procedures for the grantee which will contribute to more efficient and
effective program delivery and potentially result in less audit
findings and disallowed costs. The Agency expects this interim rule to
contribute and facilitate more consistent processes across grant
programs within CSREES and across USDA and the Federal government. By
making better use of standard administrative provisions, CSREES also
anticipates being able to publish clearer and more consistent RFAs
within a shorter time frame and provide applicants, grantees, staff,
and the public with one comprehensive set of administrative provisions.
Compliance
Once implemented, applicants who fail to comply with the new
administrative provisions may not have their applications considered
for funding by CSREES, may have their grant suspended or terminated, or
may be billed for disallowed costs. This penalty provision can be
enforced and is critical to CSREES' fair, effective, and efficient
administration of grant programs. It is anticipated that having one set
of administrative provisions codified in one part will assist
applicants and grantees in understanding and complying with Federal
assistance laws and regulations, as well as the intent of the
authorizing regulation.
Organization
CSREES organized the regulation as follows: Subparts A through E
provide administrative provisions for all competitive and
noncompetitive non-formula grants. Subparts F and thereafter apply to
specific CSREES programs and are organized in the following groups:
Research programs (i.e., programs with a predominantly research focus),
education and multicultural programs, extension programs, integrated
programs (i.e., programs that statutorily require the integration of
two or more components--research, education, or extension); and other
programs. See section 3430.2 below for definitions (e.g., research,
extension, and education).
CSREES is, to the extent practical, using the following subpart
template for each program authority: (1) Applicability of regulations,
(2) purpose, (3) eligibility, (4) definitions (those in addition to or
different from 3430.2), (5) project types and priorities, (6) funding
restrictions (including indirect costs), and (7) matching requirements.
Subparts F and thereafter contain the above seven components in this
order. Additional sections may be added for a specific program if there
are additional requirements or a need for additional rules for the
program (e.g., additional reporting requirements).
Subpart F--Specialty Crop Research Initiative
As stated above, this interim rulemaking includes the program-
specific rules as subpart F for the Specialty Crop Research Initiative
(SRCI) which is authorized under section 7311 of FCEA.
Through this program-specific regulation under subpart F, Sec.
3430.202, CSREES is defining ``integrated'' and ``specialty crop.''
Subpart F also provides that individual applicants must be U.S.
citizens or a national of the United States and excludes foreign or
international organizations. Section 3430.204 provides that CSREES can
develop and implement new activities and focus areas not identified in
3430.201 based on input provided by stakeholders and as determined by
CSREES. Section 3430.205 states the specific program restrictions and
clarifies the indirect cost policy for the SCRI Program. Section
3430.206 states the specific matching requirements for this program and
that these matching requirements cannot be waived.
Timeline for Implementing Regulations
CSREES is publishing this rule as interim with a 60-day comment
period and anticipates a final rule by March 1, 2009. However, in the
interim, these regulations apply to all CSREES competitive and
noncompetitive non-formula programs (except for the programs
implemented by 7 CFR Part 3400, Special Research Grants Program; 7 CFR
Part 3401, Rangeland Research
[[Page 44899]]
Grants Program; 7 CFR Part 3402, Food and Agricultural Sciences
National Needs Graduate and Postgraduate Fellowship Grants Program; 7
CFR Part 3405, Higher Education Challenge Grants Program; 7 CFR Part
3406, 1890 Institution Capacity Building Grants Program; 7 CFR Part
3411, National Research Initiative Competitive Grants Program; and 7
CFR Part 3415, Biotechnology Risk Assessment Research Grants Program)
until the regulations for these programs (i.e., the individual
subparts) are in effect or superseded by statute). As stated
previously, this regulation will not apply to 7 CFR Part 3403, Small
Business Innovation Research Grants Program. Within the next 18 months,
CSREES plans to cancel some of the existing program-specific
regulations identified in 7 CFR and incorporate these program-specific
regulations as separate subparts under this part. In addition, CSREES
is currently drafting a CSREES Grants Policy Manual, which while
incorporating the regulations under this part, will provide more
specific instructions, detailed explanations, and background for
potential applicants, grantees, Agency and Departmental staff, and the
public.
II. Administrative Requirements for the Proposed Rulemaking
Executive Order 12866
This action has been determined not significant for purposes of
Executive Order 12866, and therefore, has not been reviewed by the
Office of Management and Budget. This interim rule will not materially
alter the budgetary impact of entitlements, grants, user fees, or loan
programs; nor will it have an annual effect on the economy of $100
million or more; nor will it adversely affect the economy, a sector of
the economy, productivity, competition, jobs, the environment, public
health or safety, or State, local, or tribal governments or communities
in a material way. Furthermore, it does not raise a novel legal or
policy issue arising out of legal mandates, the President's priorities
or principles set forth in the Executive Order.
Regulatory Flexibility Act of 1980
This interim rule has been reviewed in accordance with the
Regulatory Flexibility Act of 1980, as amended by the Small Business
Regulatory Enforcement Fairness Act of 1996, 5 U.S.C. 601-612. The
Department concluded that the rule does not involve regulatory and
informational requirements regarding businesses, organizations, and
governmental jurisdictions subject to regulation.
Paperwork Reduction Act (PRA)
The Department certifies that this interim rule has been assessed
in accordance with the requirements of the Paperwork Reduction Act, 44
U.S.C. 3501 et seq. (PRA). The Department concludes that this interim
rule does not impose any new information requirements; however, the
burden estimates will increase for existing approved information
collections associated with this rule due to additional applicants.
These estimates will be provided to OMB. In addition to the SF-424 form
families (i.e., Research and Related and Mandatory), SF-272, Federal
Cash Transactions Report, and SF-269, Financial Status Reports; CSREES
has three currently approved OMB information collections associated
with this rulemaking: OMB Information Collection No. 0524-0042, CSREES
Current Research Information System (CRIS); No. 0524-0041, CSREES
Application Review Process; and No. 0524-0026, Assurance of Compliance
with the Department of Agriculture Regulations Assuring Civil Rights
Compliance and Organizational Information.
Catalog of Federal Domestic Assistance
This interim regulation applies to the following Federal assistance
programs administered by CSREES including 10.309, Specialty Crop
Research Initiative.
The National Environmental Policy Act of 1969
The Department certifies this interim rule has been assessed in
accordance with the requirements of the National Environmental Policy
Act of 1969, 42 U.S.C. 4321 et seq. (NEPA). The Department concludes
that the NEPA requirements do not apply to this rulemaking because this
interim rule includes no provisions impacting the maintenance,
preservation or enhancement of a healthful environment.
Federal Regulations and Policies on Families
The Department has reviewed this interim rule in accordance with
the requirements of section 654 of the Treasury and general Government
Appropriations Act of 1999, 5 U.S.C. 601 note. This interim regulation
was not found to have a potential negative effect on family well-being
as it is defined thereunder.
Executive Order 13045: Protection of Children From Environmental and
Safety Risk
The Department certifies that this interim rule has been assessed
regarding the environmental health risks and safety risks that may
disproportionately affect children. This interim regulation was not
found to have a negative affect on the health and safety of children.
Unfunded Mandates Reform Act of 1995 and Executive Order 13132
The Department has reviewed this interim rule in accordance with
the requirements of Executive Order No. 13132, 64 FR 43225 (August 10,
1999) and the Unfunded Mandates Act of 1995, 2 U.S.C. 1501 et seq., and
has found no potential or substantial direct effects on the States, on
the relationship between the national government and the States, or on
the distribution of power and responsibilities among the various levels
of government. As there is no Federal mandate contained herein that
could result in increased expenditures by State, local tribal
governments or by the private sector, the department has not prepared a
budgetary impact statement.
Executive Order 13175: Consultation and Coordination With Indian Tribal
Governments
The Department has reviewed this interim rule in accordance with
Executive Order 13175, 65 FR 67249 (Nov. 9, 2000), and has determined
that it does not have ``tribal implications.'' The interim rule does
not ``have substantial direct effects on one or more Indian tribes, on
the relationship between the Federal government and Indian Tribes, or
on the distribution of power and responsibilities between the Federal
government and Indian tribes.''
Executive Order 12630: Governmental Actions and Interference With
Constitutionally Protected Property Rights
The Department has reviewed this interim rule in accordance with
Executive Order 12630, 53 FR 8859 (Mar. 15, 1988) and has determined
that it does not contain any ``policies that have takings implications
in regard to the licensing, permitting, or other condition requirements
or limitations on private property use, or that require dedications or
exactions from owners of private property.''
Executive Order 13211: Energy Supply, Distribution, or Use
The Department has reviewed this interim regulation and has
determined that the provisions of Executive Order
[[Page 44900]]
13211, 66 FR 28355 (May 18, 2001), are not applicable as this is not a
significant regulatory action and there are no direct or implied
effects on energy supply, distribution, or use.
Clarity of This Regulation
Executive Order 12866, 58 FR 51735 (September 30, 1993), and the
President's memorandum of June 1, 1998, require each agency to write
all rules in plain language. The Department invites comments on how to
make this interim rule easier to understand.
List of Subjects in 7 CFR Part 3430
Administrative practice and procedure, Agricultural research,
Education, Extension, Federal assistance.
0
For the reasons discussed in the preamble, the Cooperative State
Research, Education, and Extension Service is amending chapter XXXIV of
title 7 of the Code of Federal Regulations to add part 3430 to read as
follows:
PART 3430--COMPETITIVE AND NONCOMPETITIVE NON-FORMULA GRANT
PROGRAMS--GENERAL GRANT ADMINISTRATION PROVISIONS
Subpart A--General Information
Sec.
3430.1 Applicability of regulations.
3430.2 Definitions.
3430.3 Deviations.
3430.4 Other applicable statutes and regulations.
Subpart B--Pre-Award: Solicitation and Application
3430.11 Competition.
3430.12 Requests for applications.
3430.13 Letter of intent to submit an application.
3430.14 Types of applications; types of grants instruments.
3430.15 Stakeholder input.
3430.16 Eligibility requirements.
3430.17 Content of an application.
3430.18 Submission of an application.
3430.19 Resubmission of an application.
3430.20 Acknowledgment of an application.
3430.21 Confidentiality of applications and awards.
Subpart C--Pre-Award: Application Review and Evaluation
3430.31 Guiding principles.
3430.32 Preliminary application review.
3430.33 Selection of reviewers.
3430.34 Evaluation criteria.
3430.35 Review of noncompetitive applications.
3430.36 Procedures to minimize or eliminate duplication of effort.
3430.37 Feedback to applicants.
Subpart D--Award
3430.41 Administration.
Subpart E--Post-Award and Closeout
3430.51 Payment.
3430.52 Cost sharing and matching.
3430.53 Program income.
3430.54 Technical reporting.
3430.55 Financial reporting.
3430.56 Project meetings.
3430.57 Hearings and appeals.
3430.58 Closeout procedures.
Research Programs
Subpart F--Specialty Crop Research Initiative
3430.200 Applicability of regulations.
3430.201 Purpose.
3430.202 Definitions.
3430.203 Eligibility.
3430.204 Project types and priorities.
3430.205 Funding restrictions.
3430.206 Matching requirements.
Authority: 7 U.S.C. 3316; Pub. L. 106-107 (31 U.S.C. 6101 note)
Subpart A--General Information
Sec. 3430.1 Applicability of regulations.
(a) This part provides agency specific regulations regarding the
application for, evaluation, award, and post-award administration of
Cooperative State Research, Education, and Extension Service (CSREES)
awards, and are supplementary to the uniform assistance regulations at
7 CFR parts 3016 (State, local, and tribal governments), 3019
(institutions of higher education, hospitals, and nonprofits), and 3015
(all others), as applicable.
(b) Competitive programs. This part applies to all agricultural
research, education, and extension competitive and related programs for
which the Cooperative State Research, Education, and Extension Service
(CSREES) has administrative or other authority, as well as any other
Federal assistance program delegated to the CSREES administrator. In
cases where regulations of this part conflict with existing regulations
of CSREES in title 7 (i.e., 7 CFR parts 3400 through 3499) of the Code
of Federal Regulations, regulations of this part shall supersede. This
part does not apply to the Small Business Innovation Research (SBIR)
Program.
(c) Noncompetitive programs. Subparts A, B, D, and E of this part,
as well as Sec. 3430.35, apply to all noncompetitive agricultural
research, education, and extension programs administered by CSREES, as
well as any other Federal assistance program delegated to the CSREES
administrator.
(d) Grant programs administered on behalf of other agencies.
Subparts A through E of this part, as appropriate, apply to competitive
and noncompetitive grants administered on behalf of other agencies of
the Federal government. Requirements specific to these grant programs
will be included in the program solicitations or RFAs.
(e) Grant programs administered jointly with other agencies.
Subparts A through E of this part, as appropriate, apply to competitive
and noncompetitive grants administered jointly with other agencies of
the Federal government. Requirements specific to these grant programs
will be included in the appropriate program solicitations or RFAs
published by both or either agency.
(f) Formula fund grants programs. This part does not apply to any
of the formula grant programs administered by CSREES. Formula funds are
the research funds provided to 1862 land-grant institutions and
agricultural experiment stations under the Hatch Act of 1887 (7 U.S.C.
361a, et seq.); extension funds provided to 1862 land-grant
institutions under sections 3(b) and 3(c)) of the Smith-Lever Act (7
U.S.C. 343(b) and (c)) and section 208(c) of the District of Columbia
Public Postsecondary Education Reorganization Act, Public Law 93-471;
agricultural extension and research funds provided to 1890 land-grant
institutions under sections 1444 and 1445 of the National Agricultural
Research, Extension, and Teaching Policy Act of 1977 (NARETPA) (7
U.S.C. 3221 and 3222); expanded food and nutrition education program
funds authorized under section 3(d) of the Smith-Lever Act to the 1862
land-grant institutions and the 1890 land-grant institutions; extension
funds under the Renewable Resources Extension Act for the 1862 land-
grant institutions and the 1890 land-grant institutions; research funds
provided to forestry schools under the McIntire-Stennis Cooperative
Forestry Research Act of 1962 (16 U.S.C. 582a, et seq.); and animal
health and disease research funds provided to veterinary schools and
agricultural experiment stations under section 1433 of NARETPA (7
U.S.C. 3195).
Sec. 3430.2 Definitions.
As used in this part:
1862 Land-Grant Institution means an institution eligible to
receive funds under the Act of July 2, 1862, as amended (7 U.S.C. 301
et seq.). Unless otherwise stated for a specific program, this term
includes a research foundation maintained by such an institution.
1890 Land-Grant Institution means one of those institutions
eligible to receive funds under the Act of August 30, 1890, as amended
(7 U.S.C. 321 et seq.), including Tuskegee University and West Virginia
State University.
[[Page 44901]]
Unless otherwise stated for a specific program, this term includes a
research foundation maintained by such an institution.
1994 Land-Grant Institution means one of those institutions as
defined in section 532 of the Equity in Educational Land-Grant Status
Act of 1994, as amended (7 U.S.C. 301 note). These institutions are
commonly referred to as Tribal Colleges or Universities.
Administrator means the Administrator of the Cooperative State
Research, Education, and Extension Service (CSREES) and any other
officer or employee of the CSREES to whom the authority involved is
delegated.
Advisory Board means the National Agricultural Research, Extension,
Education, and Economics Advisory Board.
Agricultural research means research in the food and agricultural
sciences.
Applied research means research that includes expansion of the
findings of fundamental research to uncover practical ways in which new
knowledge can be advanced to benefit individuals and society.
Authorized Departmental Officer or ADO means the Secretary or any
employee of the Department with delegated authority to issue or modify
grant instruments on behalf of the Secretary.
Authorized Representative or AR means the President or Chief
Executive Officer of the applicant organization or the official,
designated by the President or Chief Executive Officer of the applicant
organization, who has the authority to commit the resources of the
organization to the project.
Budget period means the interval of time (usually 12 months) into
which the project period is divided for budgetary and reporting
purposes.
Cash contributions means the recipient's cash outlay, including the
outlay of money contributed to the recipient by non-Federal third
parties.
Citizen or national of the United States means a citizen or native
resident of a State; or, a person defined in the Immigration and
Nationality Act, 8 U.S.C. 1101(a)(22), who, though not a citizen of the
United States, owes permanent allegiance to the United States. When
eligibility is claimed solely on the basis of permanent allegiance,
documentary evidence from the Immigration and Naturalization Service as
to such eligibility must be made available to CSREES upon request.
College or university means, unless defined in a separate subpart,
an educational institution in any State which:
(1) Admits as regular students only persons having a certificate of
graduation from a school providing secondary education, or the
recognized equivalent of such a certificate;
(2) Is legally authorized within such State to provide a program of
education beyond secondary education;
(3) Provides an educational program for which a bachelor's degree
or any other higher degree is awarded;
(4) Is a public or other nonprofit institution; and
(5) Is accredited by a nationally recognized accrediting agency or
association. Unless otherwise stated for a specific program, this term
includes a research foundation maintained by such an institution.
Department means the United States Department of Agriculture.
Education activity or teaching activity means formal classroom
instruction, laboratory instruction, and practicum experience in the
food and agricultural sciences and other related matters such as
faculty development, student recruitment and services, curriculum
development, instructional materials and equipment, and innovative
teaching methodologies.
Established and demonstrated capacity means that an organization
has met the following criteria:
(1) Conducts any systematic study directed toward new or fuller
knowledge and understanding of the subject studied; or,
(2) Systematically relates or applies the findings of research or
scientific experimentation to the application of new approaches to
problem solving, technologies, or management practices; and
(3) Has facilities, qualified personnel, independent funding, and
prior projects and accomplishments in research or technology transfer.
Extension means informal education program conducted in the States
in cooperation with the Unites States Department of Agriculture.
Extension activity means an act or process that delivers science-
based knowledge and informal educational programs to people, enabling
them to make practical decisions.
Food and agricultural sciences. The term ``food and agricultural
sciences'' means basic, applied, and developmental research, extension,
and teaching activities in food and fiber, agricultural, renewable
natural resources, forestry, and physical and social sciences,
including activities relating to the following:
(1) Animal health, production, and well-being.
(2) Plant health and production.
(3) Animal and plant germ plasm collection and preservation.
(4) Aquaculture.
(5) Food safety.
(6) Soil and water conservation and improvement.
(7) Forestry, horticulture, and range management.
(8) Nutritional sciences and promotion.
(9) Farm enhancement, including financial management, input
efficiency, and profitability.
(10) Home economics.
(11) Rural human ecology.
(12) Youth development and agricultural education, including 4-H
clubs.
(13) Expansion of domestic and international markets for
agricultural commodities and products, including agricultural trade
barrier identification and analysis.
(14) Information management and technology transfer related to
agriculture.
(15) Biotechnology related to agriculture.
(16) The processing, distributing, marketing, and utilization of
food and agricultural products.
Fundamental research means research that increases knowledge or
understanding of the fundamental aspects of phenomena and has the
potential for broad application, and has an effect on agriculture,
food, nutrition, or the environment.
Graduate degree means a Master's or doctoral degree.
Grant means the award by the Authorized Departmental Officer of
funds to an eligible grantee to assist in meeting the costs of
conducting for the benefit of the public, an identified project which
is intended and designed to accomplish the purpose of the program as
identified in the program solicitation or RFA.
Grantee means the organization designated in the grant award
document as the responsible legal entity to which a grant is awarded.
Insular area means the Commonwealth of Puerto Rico, Guam, American
Samoa, the Commonwealth of the Northern Mariana Islands, the Federated
States of Micronesia, the Republic of the Marshall Islands, the
Republic of Palau, and the Virgin Islands of the United States.
Integrated means to incorporate two or three components of the
agricultural knowledge system (research, education, and extension)
around a problem area or activity.
Land-grant Institutions means the 1862 Land-Grant Institutions,
1890 Land-Grant Institutions, and 1994 Land-Grant Institutions.
[[Page 44902]]
Matching or cost sharing means that portion of allowable project or
program costs not borne by the Federal Government, including the value
of in-kind contributions.
Merit review means 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.
Merit reviewers means peers and other individuals with expertise
appropriate to conduct merit review of a proposed project.
Methodology means the project approach to be followed.
Mission-linked research 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.
National laboratories include Federal laboratories that are
government-owned contractor-operated or government-owned government-
operated.
Peer reviewers means experts or consultants qualified by training
and experience to give expert advice on the scientific and technical
merit of grant applications or the relevance of those applications to
one or more of the application evaluation criteria. Peer reviewers may
be adhoc or convened as a panel.
Prior approval means written approval by an Authorized Departmental
Officer evidencing prior consent.
Private research organization means any non-governmental
corporation, partnership, proprietorship, trust, or other organization.
Private sector means all non-public entities, including for-profit
and nonprofit commercial and non-commercial entities, and including
private or independent educational associations.
Program Officer means a CSREES individual who is responsible for
the technical oversight of the award on behalf of USDA.
Project means the particular activity within the scope of the
program supported by a grant award.
Project Director or PD means the single individual designated by
the grantee in the grant application and approved by the Authorized
Departmental Officer who is responsible for the direction and
management of the project, also known as a Principal Investigator (PI)
for research activities.
Project period means the total length of time, as stated in the
award document and modifications thereto, if any, during which Federal
sponsorship begins and ends.
Research means any systematic study directed toward new or fuller
knowledge and understanding of the subject studied.
Scientific peer review is an evaluation of the technical quality of
a proposed project and its relevance to regional or national goals,
performed by experts with the scientific knowledge and technical skills
to conduct the proposed research work.
Secretary means the Secretary of Agriculture and any other officer
or employee of the Department to whom the authority involved is
delegated.
State means any one of the fifty States, the District of Columbia,
and the insular areas.
Third party in-kind contributions means the value of non-cash
contributions of property or services provided by non-Federal third
parties, including real property, equipment, supplies and other
expendable property, directly benefiting and specifically identifiable
to a funded project or program.
United States means the several States, the District of Columbia,
and the insular areas.
Units of State government means all State institutions, including
the formal divisions of State government (i.e., the official state
agencies such as departments of transportation and education), local
government agencies (e.g., a county human services office), and
including state educational institutions (e.g., public colleges and
universities).
Sec. 3430.3 Deviations.
Any request by the applicant or grantee for a waiver or deviation
from any provision of this part shall be submitted to the ADO
identified in the agency specific requirements. CSREES shall review the
request and notify the applicant/grantee whether the request to deviate
has been approved within 30 calendar days from the date of receipt of
the deviation request. If the deviation request is still under
consideration at the end of 30 calendar days, CSREES shall inform the
applicant/grantee in writing of the date when the applicant/grantee may
expect the decision.
Sec. 3430.4 Other applicable statutes and regulations.
Several Federal statutes and regulations apply to grant
applications considered for review and to project grants awarded under
CSREES grant programs. These include, but are not limited to:
7 CFR Part 1, subpart A--USDA implementation of the Freedom of
Information Act.
7 CFR Part 3--USDA implementation of OMB Circular No. A-129,
regarding debt management.
7 CFR Part 15, subpart A--USDA implementation of Title VI of the
Civil Rights Act of 1964, as amended.
7 CFR Part 331 and 9 CFR Part 121--USDA implementation of the
Agricultural Bioterrorism Protection Act of 2002.
7 CFR Part 3015--USDA Uniform Federal Assistance Regulations,
implementing OMB directives (i.e., OMB Circular Nos. A-21 and A-122,
now codified at 2 CFR Parts 220) and incorporating provisions of 31
U.S.C. 6301-6308 (formerly the Federal Grant and Cooperative
Agreement Act of 1977, Pub. L. 95-224), as well as general policy
requirements applicable to grantees of Departmental financial
assistance.
7 CFR Part 3017--USDA implementation of Governmentwide Debarment
and Suspension (Nonprocurement) and Governmentwide Requirements for
Drug Free Workplace (Grants).
7 CFR Part 3018--USDA implementation of Restrictions on
Lobbying. Imposes prohibitions and requirements for disclosure and
certification related to lobbying on grantees of Federal contracts,
grants, cooperative agreements, and loans.
7 CFR Part 3019--USDA implementation of OMB Circular No. A-110,
Uniform Administrative Requirements for Grants and Other Agreements
with Institutions of Higher Education, Hospitals, and Other
Nonprofit Organizations.
7 CFR Part 3052--USDA implementation of OMB Circular No. A-133,
Audits of States, Local Governments, and Nonprofit Organizations.
7 CFR Part 3407--CSREES procedures to implement the National
Environmental Policy Act of 1969, as amended. 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.
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).
Subpart B--Pre-Award: Solicitation and Application
Sec. 3430.11 Competition.
(a) Standards for competition. Except as provided in paragraph (b)
of this section, CSREES will enter into grants and cooperative
agreements, unless restricted by statute, only after competition.
(b) The CSREES ADO and the Agency approving official may make a
determination in writing that competition is not deemed appropriate for
a particular transaction. Such
[[Page 44903]]
determination shall be limited to transactions where it can be
adequately justified that a noncompetitive award is in the best
interest of the Federal government and necessary to the goals of the
program.
Sec. 3430.12 Requests for applications.
(a) For each competitive and noncompetitive non-formula program,
CSREES will prepare a program solicitation (also called a request for
applications (RFA); hereafter referred to as RFA in accordance with the
OMB policy directive, 68 FR 37370-37379 (June 23, 2003), establishing a
standard format for Federal agency announcements (i.e., program
solicitations or RFAs) of funding opportunities under programs that
award discretionary grants or cooperative agreements. This policy
directive requires the content of the RFA to be organized in a
sequential manner beginning with overview information followed by the
full text of the announcement and will apply unless superseded by
statute or another OMB policy directive. The RFA may include all or a
portion of the following items:
(1) Contact information;
(2) Directions for interested beneficiaries to submit written
comments in a published program solicitation or RFA;
(3) CFDA number;
(4) Legislative authority and background information;
(5) Purpose, priorities, and fund availability;
(6) Program-specific eligibility requirements;
(7) Program-specific restrictions on the use of funds, if
applicable;
(8) Matching requirements, if applicable;
(9) Acceptable types of applications;
(10) Types of projects to be given priority consideration,
including maximum anticipated awards and maximum project lengths, if
applicable;
(11) Program areas, if applicable;
(12) Funding restrictions, if applicable;
(13) Directions for obtaining additional requests for applications
and application forms;
(14) Information about how to obtain application forms and the
instructions for completing such forms;
(15) Instructions and requirements for submitting applications,
including submission deadline(s);
(16) Explanation of the application revaluation process; and
(17) Specific evaluation criteria used in the review process.
(b) Where program-specific requirements differ from the
requirements established in this part, program solicitations will also
address any such variation(s). Variations may occur in the following:
(1) Award management guidelines;
(2) Restrictions on the delegation of fiscal responsibility;
(3) Required approval for changes to project plans;
(4) Expected program outputs and reporting requirements, if
applicable;
(5) Applicable Federal statutes and regulations;
(6) Confidential aspects of applications and awards, if applicable;
(7) Regulatory information; and
(8) Definitions.
Sec. 3430.13 Letter of intent to submit an application.
CSREES may request or require that prospective applicants notify
program staff of their intent to submit an application identified as
``letter of intent''. If applicable, the request or requirement will be
included in the RFA, along with directions for the preparation and
submission of the letter of intent and any relevant deadlines. Entities
interested in submitting an application for a CSREES grant should
complete and submit a ``Letter of Intent to Submit an Application''
form by the due date specified in the RFA. This form does not obligate
the applicant in any way, but will provide useful information to CSREES
in preparing for application review. Applicants that do not submit a
letter of intent by the specified due date are still allowed to submit
a grant application by the application due date specified in the RFA,
unless otherwise specified in the RFA.
Sec. 3430.14 Types of applications; types of grant instruments.
(a) Types of applications. The type of application acceptable may
vary by funding opportunity. The RFA will stipulate the type of
application that may be submitted to CSREES in response to the funding
opportunity. Applicants may submit the following types of applications
as specified in the RFA.
(1) New. An application that is being submitted to CSREES for the
first time.
(2) Resubmission. This is a project application that had been
submitted for consideration under the same program previously but has
not been approved for an award under the program. For competitive
programs, this type of application is evaluated, in competition with
other pending applications in the area to which it is assigned.
Resubmissions are reviewed according to the same evaluation criteria as
new applications. In addition, applicants must respond to previous
panel review summary, unless waived by CSREES.
(3) Renewal. An application requesting additional funding for a
period subsequent to that provided by a current award. A renewal
application competes with all other applications and must be developed
as fully as though the applicant is applying for the first time.
Renewal applicants also must have filed a progress report via CRIS,
unless waived by CSREES.
(4) Continuation. A noncompeting application for an additional
funding/budget period within a previously approved project period.
(5) Revision. An application that proposes a change in the Federal
Government's financial obligations or contingent liability from an
existing obligation; or, any other change in the terms and conditions
of the existing award.
(6) Resubmitted renewal. This is a project application that has
been submitted for consideration under the same program previously.
This type of application has also been submitted for renewal under the
same program but was not approved. For competitive programs, this type
of application is evaluated, in competition with other pending
applications in the area to which it is assigned. Resubmitted renewal
applications are reviewed according to the same evaluation criteria as
new applications. Applicants must respond to previous panel review
summary and file a progress report via CRIS, unless waived by CSREES.
(b) Types of grant instruments. The following is a list of
corresponding categories of grant instruments issued by CSREES.
(1) Standard. This is a grant instrument by which the CSREES agrees
to support a specified level of effort for a predetermined project
period without the announced intention of providing additional support
at a future date.
(2) Renewal. This is an instrument by which the CSREES agrees to
provide additional funding under a standard grant as specified in
paragraph (b)(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 any statutory time limitation of the award.
(3) Continuation. This is a grant instrument by which the CSREES
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
[[Page 44904]]
would be in the best interest of the Federal government and the public.
(4) Supplemental. This is an instrument by which the CSREES agrees
to provide small amounts of additional funding under a standard,
renewal, or continuation grant as specified in paragraphs (b)(1),
(b)(2), and (b)(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 any statutory time limitation of the award.
(c) Obligation of the Federal government. Neither the acceptance of
any application nor the award of any 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. 3430.15 Stakeholder input.
Section 103 (c)(2) of the Agricultural Research, Extension, and
Education Reform Act of 1998 (AREERA) (7 U.S.C. 7613(c)(2)) requires
the Secretary to solicit and consider input on each program RFA from
persons who conduct agricultural research, education, and extension for
use in formulating future RFAs for competitive programs. CSREES will
provide instructions for submission of stakeholder input in the RFA.
CSREES will consider any comments received within the specified
timeframe in the development of the future RFAs for the program.
Sec. 3430.16 Eligibility requirements.
Program-specific eligibility requirements appear in the subpart
applicable to each program and in the RFAs. In addition to program-
specific eligibility requirements, grants will be awarded only to
responsible applicants. Specific management information relating to an
applicant shall be submitted on a one-time basis, with updates on an
as-needed basis, as part of the responsibility determination prior to
award of a grant identified under a specific CSREES program, if such
information has not been provided previously under this or another
CSREES program. CSREES will provide copies of forms recommended for use
in fulfilling these requirements as part of the preaward process.
Although an applicant may be eligible based on its status as one of
these entities, there are factors which may exclude an applicant from
receiving Federal financial and nonfinancial assistance and benefits
under a CSREES program (e.g., debarment or suspension of an individual
involved or a determination that an applicant is not responsible based
on submitted organizational management information).
Sec. 3430.17 Content of an application.
The RFA provides instructions about how to access a funding
opportunity. The funding opportunity contains the application package,
which includes the forms necessary for completion of an application in
response to the RFA, as well as the application instructions. The
application instructions document, ``A Guide for the Preparation and
Submission of CSREES Applications via Grants.gov,'' is intended to
assist applicants in the preparation and submission of applications to
CSREES. It is also the primary document for use in the preparation of
CSREES applications via Grants.gov.
Sec. 3430.18 Submission of an application.
(a) When to submit. The RFA will provide deadlines for the
submission of letters of intent, if requested and required, and
applications. CSREES may issue separate RFAs and/or establish separate
deadlines for different types of applications, different grant
instruments, different topics or phases of the grant programs. If
applications are not received by applicable deadlines, they will not be
considered for funding. Exceptions will only be considered when
extenuating circumstances exist and justification and supporting
documentation are provided to CSREES.
(b) What to submit. The contents of the applicable application
package, as well as any other information, is to be submitted by the
due date.
(c) Where to submit. The RFA will provide addresses for submission
of letters of intent, if requested or required. It will also indicate
permissible methods of submission (i.e., electronic, e-mail, hand-
delivery, U.S. Postal Service, courier). Conformance with preparation
and submission instructions is required and will be strictly enforced
unless a deviation had been approved in advance of application
submission. CSREES may establish additional requirements. CSREES may
return without review applications that are not consistent with the RFA
instructions.
Sec. 3430.19 Resubmission of an application.
(a) Previously unfunded applications. (1) Applications that are
resubmitted to a program, after being previously submitted but not
funded by that program, must include the following information:
(i) The CSREES-assigned proposal number of the previously submitted
application;
(ii) Summary of the previous reviewers' comments; and
(iii) Explanation of how the previous reviewers' comments or
previous panel summary have been addressed in the current application.
(2) Resubmitting an application that has been revised based on
previous reviewers' critiques does not guarantee the application will
be recommended for funding.
(b) Previously funded applications. (1) CSREES competitive programs
are generally not designed to support multiple grant awards activities
that are essentially repetitive in nature. PDs who have had their
projects funded previously are discouraged from resubmitting relatively
identical applications for further funding. Applications that are
sequential continuations or new stages of previously funded projects
must compete with first-time applications, and should thoroughly
demonstrate how the proposed project expands substantially on
previously funded efforts and promotes innovation and creativity beyond
the scope of the previously funded project.
(2) An application may be submitted only once to CSREES. The
submission of duplicative or substantially similar applications
concurrently for review by more than one program will result in the
exclusion of the redundant applications from CSREES consideration.
Sec. 3430.20 Acknowledgment of an application.
The receipt of all letters of intent and applications will be
acknowledged by CSREES. Applicants who do not receive an
acknowledgement within a certain number of days (as established in the
RFA, e.g., 30 and 60 days) of the submission deadline should contact
the program contact. Once the application has been assigned a proposal
number by CSREES, that number should be cited on all future
correspondence.
Sec. 3430.21 Confidentiality of applications and awards.
(a) Names of submitting institutions and individuals, as well as
application content and evaluations, will be kept confidential, except
to those involved in the review process, to the extent permissible by
law.
(b) If an application contains proprietary information that
constitutes a trade secret, proprietary commercial or financial
information, confidential personal information, or data affecting the
national security, it will be treated
[[Page 44905]]
in confidence to the extent permitted by law, provided the information
is clearly marked by the proposer with the term ``confidential and
proprietary information'' and provided at the bottom of the project
narrative or any other attachment included in the application that
contains such information: ``The following pages (specify) contain
proprietary information which (name of proposing organization) requests
not to be released to persons outside the Government, except for
purposes of evaluation.''
(c) By law, USDA is required to make the final decisions as to
whether the information is required to be kept in confidence.
Information contained in unsuccessful applications will remain the
property of the proposer. However, USDA will retain for three years one
file copy of each application received; extra copies will be destroyed.
Public release of information from any application submitted will be
subject to existing legal requirements. Any application that is funded
will be considered an integral part of the award and normally will be
made available to the public upon request, except for designated
proprietary information that is determined by USDA to be proprietary
information.
(d) The inclusion of proprietary information is discouraged unless
it is necessary for the proper evaluation of the application. If
proprietary information is to be included, it should be limited, set
apart from other text on a separate page, and keyed to the text by
numbers. It should be confined to a few critical technical items that,
if disclosed, could jeopardize the obtaining of foreign or domestic
patents. Trade secrets, salaries, or other information that could
jeopardize commercial competitiveness should be similarly keyed and
presented on a separate page. Applications or reports which attempt to
restrict dissemination of large amounts of information may be found
unacceptable by USDA and constitute grounds for return of the
application without further consideration. Without assuming any
liability for inadvertent disclosure, USDA will limit dissemination of
such information to its employees and, where necessary for the
evaluation of the application, to outside reviewers on a confidential
basis. An application may be withdrawn at any time prior to the final
action thereon.
Subpart C--Pre-Award: Application Review and Evaluation
Sec. 3430.31 Guiding principles.
The guiding principle for grant application review and evaluation
is to ensure that each proposal is treated in a consistent and fair
manner regardless of regional and institutional affiliation. After the
evaluation process by the review panel, the CSREES through the program
officer ensures that applicants receive appropriate feedback and
comments on their proposals, and processes the awards in as timely a
manner as possible.
Sec. 3430.32 Preliminary application review.
Prior to technical examination, a preliminary review will be made
of all applications for responsiveness to the administrative
requirements set forth in the RFA. Applications that do not meet the
administrative requirements may be eliminated from program competition.
However, USDA retains the right to conduct discussions with applicants
to resolve technical and/or budget issues, as deemed necessary by USDA.
Sec. 3430.33 Selection of reviewers.
(a) Requirement. CSREES is responsible for performing a review of
applications submitted to CSREES competitive award programs in
accordance with section 103(a) of the Agricultural Research, Extension,
and Education Reform Act of 1998 (7 U.S.C. 7613(a)). Reviews are
undertaken to ensure that projects supported by CSREES are of high
quality and are consistent with the goals and requirements of the
funding program. Applications submitted to CSREES undergo a
programmatic evaluation to determine the worthiness of Federal support.
The evaluations consist of a peer panel review and also may entail an
assessment by Federal employees and ad hoc reviewers.
(b) CSREES Peer Review System. The CSREES Application Review
Process is accomplished through the use of the CSREES Peer Review
System (PRS), a web-based system which allows reviewers and potential
reviewers to update personal information and to complete and submit
reviews electronically to CSREES.
(c) Relevant training and experience. Reviewers will be selected
based upon training and experience in relevant scientific, extension,
or education fields taking into account the following factors:
(1) Level of relevant formal scientific, technical education, and
extension experience of the individual, as well as the extent to which
an individual is engaged in relevant research, education, or extension
activities;
(2) Need to include as reviewers experts from various areas of
specialization within relevant scientific, education, and extension
fields;
(3) Need to include as reviewers other experts (e.g., producers,
range or forest managers/operators, and consumers) who can assess
relevance of the applications to targeted audiences and to program
needs;
(4) Need to include as reviewers experts from a variety of
organizational types (e.g., colleges, universities, industry, state and
Federal agencies, private profit and nonprofit organizations) and
geographic locations;
(5) Need to maintain a balanced composition of reviewers with
regard to minority and female representation and an equitable age
distribution; and
(6) Need to include reviewers who can judge the effective
usefulness to producers and the general public of each application.
(d) Confidentiality. The identities of reviewers will remain
confidential to the maximum extent possible. Therefore, the names of
reviewers will not be released to applicants. If it is possible to
reveal the names of reviewers in such a way that they cannot be
identified with the review of any particular application, this will be
done at the end of the fiscal year or as requested. Names of submitting
institutions and individuals, as well as application content and peer
evaluations, will be kept confidential, except to those involved in the
review process, to the extent permitted by law. Reviewers are expected
to be in compliance with CSREES Confidentiality Guidelines. Reviewers
provide this assurance through PRS.
(e) Conflicts of interest. During the evaluation process, extreme
care will be taken to prevent any actual or perceived conflicts of
interest that may impact review or evaluation. For the purpose of
determining conflicts of interest, the academic and administrative
autonomy of an institution shall be determined. Reviewers are expected
to be in compliance with CSREES Conflict-of-interest Guidelines.
Reviewers provide this assurance through PRS.
Sec. 3430.34 Evaluation criteria.
(a) To ensure any project receiving funds from CSREES is consistent
with the broad goals of the funding program, the content of each
proposal/application submitted to CSREES will be evaluated based on a
pre-determined set of review criteria. It is the responsibility of the
Program Officer to develop, adopt, adapt, or otherwise establish the
criteria by which proposals are to be evaluated. It may be appropriate
for the Program Officer to involve other scientists or stakeholders in
the development of criteria, or to extract criteria from legislative
authority or appropriations
[[Page 44906]]
language. The review criteria is described in the RFA and shall not
include criteria concerning any cost sharing or matching requirements
per section 7301 of the Food, Conservation, and Energy Act of 2008.
(b) In order that all potential applicants for a program have
similar opportunities to compete for funds, all reviewers will receive
from the Program Officer a description of the review criteria.
Reviewers are instructed to use those same evaluation criteria, and
only those criteria, to judge the merit of the proposals they review.
Sec. 3430.35 Review of noncompetitive applications.
(a) Some projects are directed by either authorizing legislation
and/or appropriations to specifically support a designated institution
or set of institutions for particular research, education or extension
topics of importance to the nation, a State or a region. Although these
projects may be awarded noncompetitively, these projects or activities
are subject to the same application process, award terms and
conditions, Federal assistance laws and regulations, reporting and
monitoring requirements, and post-award administration and closeout
policies and procedures as competitive grant programs. The only
difference is these applications are not subject to a competitive peer
review process at the Agency level.
(b) All noncompetitive applications recommended for funding are
required to be merit reviewed and the merit review documented by the
CSREES program official. For awards recommended for funding at or
greater than $10,000, an independent and unit merit review are
required.
Sec. 3430.36 Procedures to minimize or eliminate duplication of
effort.
CSREES may implement appropriate business processes to minimize or
eliminate the awarding of CSREES grants that unnecessarily duplicate
activities already being sponsored under other grant awards, including
awards made by other Federal agencies. Business processes may include
the review of the Current and Pending Support Form; documented CRIS
searches prior to award; the conduct of project director (PD)
workshops, conferences, meetings, and symposia; and agency
participation in Federal government-wide and other committees,
taskforces, or groups that seek to solve problems related to
agricultural research, education, and extension and other activities
delegated to the CSREES administrator.
Sec. 3430.37 Feedback to applicants.
Copies of individual reviews and/or summary reviews, not including
the identity of reviewers, will be sent to the applicant PDs after the
review process has been completed.
Subpart D--Award
Sec. 3430.41 Administration.
(a) General. Within the limit of funds available for such purpose,
the CSREES ADO shall make grants to those responsible, eligible
applicants whose applications are judged most meritorious under the
procedures set forth in the RFA. The date specified by the CSREES ADO
as the effective date of the grant 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. It should be noted that the project need not be initiated on
the grant effective date, but as soon thereafter as practical so that
project goals may be attained within the funded project period. All
funds granted by CSREES shall be expended solely for the purpose for
which the funds are granted in accordance with the approved application
and budget, the regulations, the terms and conditions of the award, the
applicable Federal cost principles, and the Department's assistance
regulations (7 CFR parts 3015 and 3019).
(b) Organizational management information. Specific management
information relating to an applicant shall be submitted on a one-time
basis as part of the responsibility determination prior to the award of
a grant, if such information has not been provided previously to
CSREES. CSREES will provide copies of forms recommended for use in
fulfilling these requirements as part of the preaward process.
(c) Notice of Award. The notice of award document (i.e., Form
CSREES-2009, Award Face Sheet) will provide pertinent instructions and
information including, at a minimum, the following:
(1) Legal name and address of performing organization or
institution to whom the Administrator has awarded a grant;
(2) Title of project;
(3) Name(s) and institution(s) of Project Director(s);
(4) Identifying award number assigned by CSREES or the Department;
(5) Project period;
(6) Total amount of CSREES financial assistance approved;
(7) Legal authority(ies) under which the grant is awarded;
(8) Appropriate CFDA number;
(9) Approved budget plan or referenced thereof; and
(10) Other information or provisions (including the Terms and
Conditions) deemed necessary by CSREES to carry out its respective
granting activities or to accomplish the purpose of a particular grant.
(d) Other terms and conditions. CSREES may, with respect to any
grant, impose additional conditions prior to or at the time of any
award when, in the CSREES' 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 E--Post-Award and Closeout
Sec. 3430.51 Payment.
(a) All payments will be made in advance unless a deviation is
accepted (see Sec. 3430.3) or as specified in paragraph (b) of this
section. All payments to the grantee shall be made via the U.S.
Department of Health and Human Services' Payment Management System
(DHHS-PMS) or another electronic funds transfer (EFT) method except for
awards to other Federal agencies. Grantees are expected to request
funds via DHHS-PMS for reimbursement basis in a timely manner.
(b) If CSREES has determined that advance payment is not feasible
and that the grantee does not maintain or demonstrate the willingness
to maintain: Written procedures that minimize the time elapsing between
the transfer of funds and disbursement by the grantee, and financial
management systems that meet the standards for fund control and
accountability as established in Sec. 3430.61; CSREES shall use the
reimbursement method.
Sec. 3430.52 Cost sharing and matching.
(a) General. Grantees may be required to match the Federal funds
received under a CSREES grant. The required percentage of matching,
type of matching (e.g., cash and/or in-kind contributions), sources of
match (e.g., non-Federal), and whether CSREES has any authority to
waive the match will be specified in the subpart applicable to the
specific grant program, as well as in the RFA.
(b) Indirect Costs. Grantees' matching contribution may also
include unrecoverable indirect costs. Such costs may be accepted as
part of the grantee's resource contribution provided the total amount
of indirect cost claimed under the Federal and non-Federal portions of
the costs, when combined, do not exceed the applicant's negotiated
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indirect cost rate or if applicable, the statutory cap on indirect
costs. Indirect costs provisions for each specific grant program are
identified in the ``Funding restrictions'' section of the subpart for
each individual grant program.
Sec. 3430.53 Program income.
(a) CSREES shall apply the standards set forth in this section in
requiring grantee organizations to account for program income related
to projects financed in whole or in part with Federal funds.
(b) Unless otherwise provided in the authorizing statute, program
income earned during the project period shall be retained by the
grantee and, in accordance with the terms and conditions of the award,
shall be added to funds committed to the project by CSREES and grantee
and used to further eligible project or program objectives. Any
specific program deviations will be identified in the individual
subparts.
(c) Unless the program regulations identified in the individual
subpart provide otherwise, grantees shall follow the terms and
conditions of the award.
Sec. 3430.54 Technical reporting.
(a) Requirement. All projects supported with Federal funds under
this part must be documented in the Current Research Information System
(CRIS).
(b) Initial Documentation in the CRIS Database. Information
collected in the ``Work Unit Description'' (Form AD-416) and ``Work
Unit Classification'' (Form AD-417) is required upon project initiation
for all new awards in CRIS (i.e., prior to award).
(c) Annual CRIS Reports. Unless stated differently in the grant
terms and conditions, an annual ``Accomplishments Report'' (Form AD-
421) is due 90 calendar days after the award's anniversary date (i.e.,
one year following the month and day of which the project period begins
and each year thereafter up until a final report is required). An
annual report covers a one-year period. In addition to the Form AD-421,
the following information, when applicable, must be submitted to the
programmatic contact person identified in block 4 of the Award Face
Sheet (Form CSREES-2009): A comparison of actual accomplishments with
the goals established for the reporting period (where the output of the
project can be expressed readily in numbers, a computation of the cost
per unit of output should be considered if the information is
considered useful); the reasons for slippage if established goals were
not met; and additional pertinent information including, when
appropriate, analysis and explanation of cost overruns or unexpectedly
high unit costs. The annual report of ``Funding and Staff Support''
(Form AD-419) is due February 1 of the year subsequent to the Federal
fiscal year being reported.
(d) CRIS Final Report. The CRIS final report, ``Accomplishments
Report'' (Form AD-421), covers the entire period of performance of the
award. The report should encompass progress made during the entire
timeframe of the project instead of covering accomplishments made only
during the final reporting segment of the project. In addition to
providing the information required under paragraph (c) of this section,
the final report must include the following when applicable: A
disclosure of any inventions not previously reported that were
conceived or first actually reduced to practice during the performance
of the work under the award; a written statement on whether or not the
awardee elects (or plans to elect) to obtain patent(s) on any such
invention; and identify equipment purchased with any Federal funds
under the award and indicate subsequent use of such equipment.
(e) CRIS Web Site Via Internet. The CRIS database is available to
the public on the World Wide Web. CRIS project information is available
via the Internet CRIS Web site at http://cris.csrees.usda.gov. To
submit forms electronically, the CRIS forms Web site can be accessed
through the CRIS Web site or accessed directly at http://csf.uvm.edu/cris.
(f) Grantees may be required to submit other technical reports or
submit the CRIS reports more frequently than annual. Additional
requirements for a specific grant program are described in the
applicable subpart after subpart F and are identified in the RFA. The
Award Face Sheet (Form CSREES-2009) also will specify these additional
reporting requirements.
Sec. 3430.55 Financial reporting.
(a) SF-269, Financial Status Report. Unless stated differently in
the grant terms and conditions, a SF-269, Financial Status Report, is
due 90 days after the expiration of the grant and should be submitted
to the Awards Management Branch (AMB) at Awards Management Branch;
Office of Extramural Programs, CSREES; U.S. Department of Agriculture;
STOP 2271; 1400 Independence Avenue, SW.; Washington, DC 20250-2271.
The awardee shall report program outlays and program income on the same
accounting basis (i.e., cash or accrual) that it uses in its normal
accounting system. When submitting a final SF-269, Financial Status
Report, the total matching contribution, if required, should be shown
in item 12., Remarks. The final SF-269 must not show any unliquidated
obligations. If the awardee still has valid obligations that remain
unpaid when the report is due, it shall submit a provisional report
(showing the unliquidated obligations) by the due date and a final
report when all obligations have been liquidated. When submitting a
provisional report, the awardee shall inform AMB when it expects a
final report. If AMB waives the requirement for provisional reports,
the grantee will be so notified. SF-269, Financial Status Reports, must
be submitted by all grantees, including Federal agencies and national
laboratories.
(b) Grants with Required Matching. For grants requiring a matching
contribution, an annual SF-269, Financial Status Report, is required
and this requirement will be indicated on the Award Face Sheet, Form
CSREES-2009, in which case it must be submitted no later than 90 days
following the end of the Federal fiscal year, September 30th.
(c) Overdue SF-269, Financial Status Reports. Grantees with overdue
SF-269, Financial Status Reports, or other required financial report
(as identified in the grant terms and conditions), will have their
applicable balances at DHHS-PMS restricted or placed on ``manual
review,'' which restricts the grantee's ability to draw funds thus
requiring prior approval from CSREES. If any remaining available
balances are needed by the grantee, the grantee will be required to
contact AMB to request permission to draw any additional funds and may
be required to provide documentation to support the draw.
(d) SF-272, Federal Cash Transactions Report. Grantees (receiving
electronic payments through DHHS-PMS) are required to submit their SF-
272, Federal Cash Transactions Report, via the DHHS-PMS by the
specified dates. Failure to submit this quarterly report by the due
date may result in funds being restricted by DHHS-PMS. Grantees (not
receiving payments through DHHS-PMS) may be exempt from this reporting
requirement.
(e) Additional reporting requirements. CSREES may require
additional financial reporting requirements as follows: CSREES may
require forecasts of Federal cash requirements in the ``Remarks''
section of the report; and when practical and deemed necessary, CSREES
may require grantees to report in the ``Remarks'' section the amount of
cash advances received in excess of three days (i.e., short narrative
with explanations of actions taken to reduce
[[Page 44908]]
the excess balances). When CSREES needs additional information or more
frequent reports, the following will be observed: When additional
information is needed to comply with legislative requirements, CSREES
will issue instructions to require grantees to submit such information
under the ``Remarks'' section of the reports; and CSREES determines
that a grantee's accounting system is inadequate, additional pertinent
information to further monitor awards may be obtained upon written
notice to the grantee until such time as the system is brought up to
standard. CSREES, in obtaining this information, shall comply with the
PRA clearance requirements and the implementing regulations codified at
5 CFR part 1320.
Sec. 3430.56 Project meetings.
In addition to reviewing (and monitoring the status of) progress
and final technical reports and financial reports, CSREES program
officers may use regular and periodic conference calls to monitor the
grantee's performance as well as PD conferences, workshops, meetings,
and symposia to not only monitor the grants, but to facilitate
communication and the sharing of project results. These opportunities
also serve to eliminate or minimize CSREES funding unneeded duplicative
project activities. Required attendance at these conference calls,
conferences, workshops, meetings, and symposia will be identified in
the RFA and the grantee should develop a proposal accordingly.
Sec. 3430.57 Hearings and appeals.
(a) Scope of the post-award disputes covered. The disputes covered
by this section include: Cost disallowances pursuant to the ADO's
decision (e.g., specific disallowances under an individual grant or as
the result of an audit report); termination orders; and the final
settlement amount under a termination.
(b) Procedures. The grantee should submit a letter to the ADO from
the applicant's AR, via mail, e-mail, or fax, noting the grantee's
dispute and identifying the Grants Officer's decision in question,
giving reasons for a request to review and providing any other material
pertinent to the request. The letter to the ADO must be dated no later
than 60 days after the date of the letter notifying the grantee of the
decision in question. CSREES retains the right to consider requests for
review after the 60-day period in extenuating circumstances. The ADO
will review or designate an individual to review the request. A report
will be prepared with a recommendation within 60 days and forwarded to
the Deputy Administrator, Office of Extramural Programs for
disposition.
Sec. 3430.58 Closeout.
Most CSREES awards are supported with annual appropriations. On
September 30th of the 5th fiscal year after the period of availability
for obligation, the funds for these appropriations accounts expire per
31 U.S.C. 1552 and the account is closed. Funds that have not been
drawn through DHHS-PMS by the grantee or disbursed through any other
system or method by August 31st (of the fifth year appropriation) are
subject to be returned to the U.S. Department of Treasury after that
date. Please note that the August 31st requirement also applies to
awards with a 90-day period concluding on a date after September 30th
of that following fifth year. Please note expired appropriations cannot
be restored after this date. More specific instructions are provided in
the CSREES award terms and conditions.
Research Programs
Subpart F--Specialty Crop Research Initiative
Sec. 3430.200 Applicability of regulations.
The regulations in this subpart apply to the program authorized
under section 412 of the Agricultural Research, Extension, and
Education Reform Act of 1998 (7 U.S.C. 7621 et seq.).
Sec. 3430.201 Purpose.
The purpose of this program is to address the critical needs of the
specialty crop industry by developing and disseminating science-based
tools to address needs of specific crops and their regions, including:
Research in plant breeding, genetics, and genomics to improve crop
characteristics, such as product, taste, quality, and appearance;
environmental responses and tolerances; nutrient management, including
plant nutrient uptake efficiency; pest and disease management,
including resistance to pests and diseases resulting in reduced
application management strategies; and enhanced phytonutrient content;
efforts to identify and address threats from pests and diseases,
including threats to specialty crop pollinators; efforts to improve
production efficiency, productivity, and profitability over the long
term (including specialty crop policy and marketing); new innovations
and technology, including improved mechanization and technologies that
delay or inhibit ripening; and methods to prevent, detect, monitor,
control, and respond to potential food safety hazards in the production
and processing of specialty crops, including fresh produce. CSREES will
award research and extension, including integrated grants to eligible
institutions listed in Sec. 3430.203. In addition to the focus areas
defined in this section, CSREES may include additional activities or
focus areas that will further address the critical needs of the
specialty crop industry. Some of these activities or focus areas may be
identified by stakeholder groups or by USDA in response to emerging
critical needs of the specialty crop industry.
Sec. 3430.202 Definitions.
The definitions applicable to the program under this subpart
include:
Integrated means for the purposes of this program to incorporate
the research and extension components of the agricultural knowledge
system around a problem area or activity.
Specialty crop means fruits and vegetables, tree nuts, dried
fruits, and horticulture and nursery crops (including floriculture).
Sec. 3430.203 Eligibility.
Eligible applicants for the grant program implemented under this
subpart include: Federal agencies; national laboratories; colleges and
universities; research institutions and organizations; private
organizations or corporations; State agricultural experiment stations;
individuals; and groups consisting of 2 or more entities identified in
this sentence. To be eligible under this part, individuals must be a
citizen or national of the United States as defined in Sec. 3430.2 of
this part. Eligible institutions do not include foreign and
international organizations, unless otherwise provided in the RFA.
Sec. 3430.204 Project types and priorities.
For each RFA, CSREES may develop and include the appropriate
project types and focus areas (in addition to the five activities or
focus areas identified in 3430.201) based on the critical needs of the
specialty crop industry as identified through stakeholder input and
deemed appropriate by CSREES. Of the funds made available each fiscal
year, not less than 10 percent of these funds shall be allocated for
each activity or focus area identified in Sec. 3430.201. In making
awards for this program, USDA will give higher priority to projects
that are multistate, multi-institutional, and multidisciplinary; and
include explicit mechanisms to communicate the results to producers and
the public.
[[Page 44909]]
Sec. 3430.205 Funding restrictions.
Funds made available under this subpart shall not be used for the
construction of a new building or facility or the acquisition,
expansion, remodeling, or alteration of an existing facility (including
site grading and improvement, and architect fees). Indirect costs are
subject to NARETPA section 1462(a) limiting indirect costs to 22
percent of the total Federal funds provided under each award unless
superseded by another authority. The maximum allowed indirect cost of
22 percent may be claimed under the Federal portion of the award
budget, or the maximum allowed indirect cost of 22 percent may be
claimed as a matching contribution (if no indirect costs are requested
on the Federal portion of the budget). However, the maximum allowed
indirect cost of 22 percent may not be claimed on both the Federal
portion of the budget for the award and as a matching contribution; but
a grantee may, for example, request 11 percent of indirect costs on
both the Federal portion of the budget for the award and as a matching
contribution. Or, a grantee may request any other, similar percentage
combination that, when combined, does not exceed a maximum indirect
cost rate of 22 percent.
Sec. 3430.206 Matching requirements.
Grantees are required to provide funds or in-kind support from non-
Federal sources in an amount that is at least equal to the amount
provided by the Federal government. The matching contribution must be
provided from non-Federal sources except when authorized by statute.
The matching requirements under this subpart cannot be waived.
Signed at Washington, DC, on July 28, 2008.
Colien Hefferan,
Administrator, Cooperative State Research, Education, and Extension
Service.
[FR Doc. E8-17594 Filed 7-31-08; 8:45 am]
BILLING CODE 3410-22-P