[Federal Register Volume 75, Number 174 (Thursday, September 9, 2010)]
[Rules and Regulations]
[Pages 54759-54766]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2010-22387]



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  Federal Register / Vol. 75, No. 174 / Thursday, September 9, 2010 / 
Rules and Regulations  

[[Page 54759]]



DEPARTMENT OF AGRICULTURE

National Institute of Food and Agriculture

7 CFR Part 3430

RIN 0524-AA58


Competitive and Noncompetitive Non-Formula Federal Assistance 
Programs--General Award Administrative Provisions and Specific 
Administrative Provisions

AGENCY: National Institute of Food and Agriculture, USDA.

ACTION: Interim rule and request for comments.

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

SUMMARY: The National Institute of Food and Agriculture (NIFA) is 
publishing program-specific administrative provisions for the following 
Federal assistance programs: Agriculture and Food Research Initiative 
(AFRI) as subpart G; the Organic Agriculture Research and Extension 
Initiative (OREI); and the Integrated Research, Education, and 
Extension Competitive Grants Program (406), to supplement the 
Competitive and Noncompetitive Non-formula Federal Assistance 
Programs--General Award Administrative Provisions for these programs. 
Section 7406 of the Food, Conservation, and Energy Act of 2008 (FCEA or 
the ``2008 Farm Bill'') amended section 2(b) of the Act of August 4, 
1965, Competitive, Special, and Facilities Research Grant Act, to 
authorize the Agriculture and Food Research Initiative (AFRI) to 
provide funding for fundamental and applied research, extension, and 
education to address food and agricultural sciences. The Organic 
Agriculture Research and Extension Initiative is authorized under 
section 1672B of the Food, Agriculture, Conservation, and Trade Act of 
1990 (FACT Act), as amended by FCEA. The Integrated Research, 
Education, and Extension, Competitive Grants Program is authorized 
under section 406 of the Agricultural Research, Extension, and 
Education Reform Act of 1998, as amended by FCEA.

DATES: This interim rule becomes effective on September 9, 2010. The 
Agency must receive comments on or before November 8, 2010.

ADDRESSES: You may submit comments, identified by RIN 0524-AA58, 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-AA58 in the subject line of the message.
    Fax: 202-401-7752.
    Mail: paper, disk or CD-ROM submissions should be submitted to 
National Institute of Food and Agriculture; U.S. Department of 
Agriculture; STOP 2299; 1400 Independence Avenue, SW., Washington, DC 
20250-2299.
    Hand Delivery/Courier: National Institute of Food and Agriculture; 
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: Ellen Danus, Chief, Policy and 
Oversight Branch, Office of Extramural Programs, National Institute of 
Food and Agriculture, U.S. Department of Agriculture, STOP 2299, 1400 
Independence Avenue, SW., Washington, DC 20250-2299; Voice: 202-205-
5667; 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. 3316). Section 7406 
of the Food, Conservation, and Energy Act of 2008 (FCEA) (Pub. L. 110-
246) amended section 2(b) of the Competitive, Special, and Facilities 
Research Grant Act (7 U.S.C. 450i(b)) to authorize the Agriculture and 
Food Research Initiative (AFRI) to provide funding for fundamental and 
applied research, extension, and education to address food and 
agricultural sciences. The Organic Agriculture Research and Extension 
Initiative is authorized under section 1672B of the Food, Agriculture, 
Conservation, and Trade Act OF 1990 (FACT Act), as amended by FCEA (7 
U.S.C. 5925b). The Integrated Research, Education, and Extension 
Competitive Grants Program is authorized under section 406 of the 
Agricultural Research, Extension, and Education Reform Act of 1998, as 
amended by FCEA (7 U.S.C. 7626).

Organization of 7 CFR Part 3430

    A primary function of NIFA is the fair, effective, and efficient 
administration of Federal assistance programs implementing agricultural 
research, education, and extension programs. The awards made under the 
above authorities are subject to the NIFA assistance regulations at 7 
CFR part 3430, Competitive and Noncompetitive Non-formula Federal 
Assistance Programs. NIFA's development and publication of these 
regulations for its non-formula Federal assistance programs serve to 
enhance its accountability and to standardize procedures across the 
Federal assistance programs it administers while providing transparency 
to the public. NIFA published 7 CFR part 3430 with subparts A through F 
as a final rule on September 4, 2009 [74 FR 45736-45752]. These 
regulations apply to all Federal assistance programs administered by 
NIFA except for the formula grant programs identified in 7 CFR 
3430.1(f), the Small Business Innovation Research programs with 
implementing regulations at 7 CFR part 3403, and the Veterinary 
Medicine Loan Repayment Program (VMLRP) regulations at 7 CFR 3431.
    NIFA organized the regulation as follows: Subparts A through E 
provide administrative provisions for all competitive and 
noncompetitive non-formula Federal assistance programs. Subparts F and 
thereafter apply to specific NIFA programs.
    NIFA is, to the extent practical, using the following subpart 
template for each program authority: (1) Applicability of

[[Page 54760]]

regulations, (2) purpose, (3) definitions (those in addition to or 
different from 3430.2), (4) eligibility, (5) project types and 
priorities, (6) funding restrictions, 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). Through this 
rulemaking, NIFA is adding subparts G, H, and I for the administrative 
provisions that are specific to the AFRI, OREI, and 406.

Solicitation of Stakeholder Input and Development of Subparts G, H, and 
I

    NIFA has been administering the 406 programs for almost 10 years. 
Under this authority, the integration of research, education, and 
extension is achieved at the program level. Integration at the program 
level indicates that the program offers opportunities in that fiscal 
year for integrated projects, along with single function projects in 
research, education, or extension, which together achieve stated 
program goals. Integrated projects incorporate at least two of the 
three components of the agricultural knowledge system (i.e., research, 
education, and extension) within a project, bringing them together 
around a problem or activity. Consequently, NIFA has adopted the 
definitions of ``integrated programs'' and ``integrated projects'' 
under Subpart I. For the OREI program, an integrated project 
incorporates only the research and extension components as the OREI 
authority applies only to these components. Both subparts H and I 
include the standard elements of a subpart including applicability, 
purpose, definitions, eligibility, project types and priorities, 
funding restrictions, and matching requirements. Although NIFA has not 
administered the OREI program as long as the 406 programs, it has a 
well-established grants cycle and Request for Applications (RFA) 
process.
    While the 406 and OREI programs had been administered by NIFA for a 
number of years, NIFA implemented (AFRI) in FY 2009. AFRI combines the 
former National Research Initiative (NRI) and the Initiative for Future 
Agriculture and Food Systems (IFAFS) programs. AFRI is the new core 
competitive grant program for research, education, and extension in 
USDA. With the enactment of the 2008 Farm Bill, the NRI and IFAFS 
program authorities have been repealed. Subpart G for AFRI includes the 
standard elements of a subpart as identified above, as well as certain 
statutory and administrative requirements for the program. The 
regulations for the NRI program were codified at 7 CFR Part 3411 and 
were implemented prior to the Government-wide and Agency efforts to 
standardize and streamline Federal assistance policies and procedures. 
Consequently, 7 CFR 3411 incorporates many more elements that are now 
addressed in 7 CFR 3430 Subparts A through E. Subpart G addresses only 
those aspects of the grant program that are unique to AFRI.
    To implement AFRI and to draft subpart G, NIFA sought to solicit 
stakeholder input in the development and implementation of AFRI. 
Consequently, NIFA published a Federal Register Notice on August 29, 
2008 [73 FR 50926-50928], soliciting written stakeholder input comments 
on the implementation of the AFRI and announcing a public meeting to 
solicit additional input. Approximately 40 people attended this 
session. NIFA also received written comments by telephone, e-mail, and 
fax in response to the Federal Register announcement. In all, 
stakeholder input was received from: American Soybean Association; 
American Forest and Paper Association; American Peanut Council; 
American Phytopathological Society; American Society for Nutrition; 
Agronomy Society of America; Crop Science Society of America; Soil 
Science Society of America; Association of Southern Region Extension 
Directors; BASF Plant Science LLC; California Certified Organic 
Farmers; Council on Food, Agricultural and Resource Economics; National 
Organic Coalition; Experiment Station Committee on Organization and 
Policy; Heron's Nest Farm; Institute of Food Technologies; Kentucky 
Farm Bureau; Michael Fields Agricultural Institute; National 
Association of Plant Breeders; National Association of State 
Universities and Land Grant Colleges (NASULGC); NASULGC Board on Human 
Sciences; National Association of Wheat Growers; National Coalition for 
Food and Agricultural Research; Nourse Farms; Organic Farmers' Agency 
for Relationship Marketing, Inc.; Sustainable Agriculture Coalition; 
Union of Concerned Scientists; Washington State Potato Commission; 
Western Association of Agricultural Experiment Station Directors; 
university faculty and several individuals. This list includes several 
community-based organizations, professional organizations, 
universities, farms, small businesses, and others.
    Many stakeholders recognized a need and supported increased 
investments in plant and animal breeding. Many breeding objectives are 
targeting regional to local conditions and are not supported by 
commercial breeders. NIFA feels this is a clear role for competitive 
Federal support. Based on stakeholder input, NIFA has included an 
emphasis on plant and animal breeding within the program and this is 
reflected in the FY 2010 Request for Applications (RFA).
    During the stakeholder comment period, there was additional 
discussion of the value of making awards for up to 10 years as provided 
in the legislation. Several areas were identified where awards of this 
length could expand the ability of the program to achieve substantial 
goals. For example, longer awards would allow for the full development 
of new plant varieties in breeding programs. Studies of nutrition would 
be more valuable if the improvements in nutrition and health could be 
studied over a longer term to determine if the benefits observed could 
be sustained. The FY 2010 RFAs provide opportunities for up to 5-year 
duration on awards (with opportunity for up to 2 additional years of 
no-cost extension). NIFA is reviewing this authority, along with the 
10-year authority available for the Specialty Crop Research Initiative 
(authorized under section 412 of the Agricultural Research, Extension, 
and Education Reform Act of 1998), and working to implement the 10-year 
authority for these programs.
    To accomplish identified program goals, many stakeholders pointed 
out that it may be effective to make single function awards (i.e., 
research, education, and extension). Clearly there are cases where, to 
meet national workforce needs, education programs are needed. 
Similarly, when there are issues that can be resolved by directly 
engaging farmers and others, extension programs may be appropriate. 
Based on these stakeholder recommendations, NIFA has included 
education- and extension-only program priorities. For the FY 2010 RFA, 
NIFA also solicited proposals for integrated projects (that combine 
research, education and/or extension).
    There will be a continuous process in soliciting and considering 
stakeholder input for the AFRI program; and ongoing stakeholder input 
will continue to be encouraged. All stakeholder input received has been 
made available at http://www.regulations.gov under CSREES--FRDOC--0001-
0062 and under NIFA-2010-0001.

Timeline for Implementing Regulations

    NIFA is publishing this rule as interim with a 60-day comment 
period

[[Page 54761]]

and anticipates a final rule by December 31, 2010. However, in the 
interim, these regulations apply to the AFRI, OREI, and 406 programs.

II. Administrative Requirements for the Rulemaking

Executive Order 12866

    This action has been determined to be not significant for purposes 
of Executive Order 12866. This interim rule will not create a serious 
inconsistency or otherwise interfere with an action taken or planned by 
another agency; nor will it 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 will not have a significant economic 
impact on a substantial number of small entities. 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 or increase the 
burden hours. In addition to the SF-424 form families (i.e., Research 
and Related and Mandatory) and the SF-425 Federal Financial Report 
(FFR) No. 0348-0061, NIFA has three currently approved OMB information 
collections associated with this rulemaking: OMB Information Collection 
No. 0524-0042, NIFA Current Research Information System (CRIS) (Note 
that CRIS will be superceded by REEport in the fall of 2010). The 
Notice of Intent To Request Approval To Establish a New Information 
Collection was published in the Federal Register on July 12, 2010 in FR 
Doc 2010-16854. Comments will be accepted until September 15, 2010; 
please reference docket number NIFA-2010-0002); No. 0524-0041, NIFA 
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 NIFA including CFDA No. 10.310, Agriculture 
and Food Research Initiative; CFDA No. 10.307, Organic Agriculture 
Research and Extension Initiative; and CFDA No. 10.303, Integrated 
Research, Education, and Extension Competitive Grants Program.

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 and the Unfunded Mandates 
Reform 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, or Tribal governments, or by 
the private sector, the Department has not prepared a budgetary impact 
statement.

Clarity of This Regulation

    Executive Order 12866 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
Accordingly, Title 7 of the Code of Federal Regulations is amended as 
set forth below:

PART 3430--COMPETITIVE AND NONCOMPETITIVE NON-FORMULA FEDERAL 
ASSISTANCE PROGRAMS--GENERAL AWARD ADMINISTRATIVE PROVISIONS

0
1. The authority citation for Part 3430 continues to read as follows:

    Authority: 7 U.S.C. 3316; Pub. L. 106-107 (31 U.S.C. 6101 note).

0
2. Add new subparts G, H, and I, to read as follows:
Subpart G--Agriculture and Food Research Initiative
Sec.
3430.300 Applicability of regulations.
3430.301 Purpose.
3430.302 Definitions.
3430.303 Eligibility.
3430.304 Project Types and priorities.
3430.305 Funding restrictions.
3430.306 Matching requirements.
3430.307 Coordination and stakeholder input requirements.
3430.308 Duration of awards.
3430.309 Priority areas.
3430.310 Allocation of AFRI funds.
3430.311 Allocation of research funds.
3430.312 Emphasis on Sustainable Agriculture.

Subpart G--Agriculture and Food Research Initiative


Sec.  3430.300  Applicability of regulations.

    The regulations in this subpart apply to the Agriculture and Food 
Research Initiative (AFRI) authorized under section 2(b) of the 
Competitive, Special, and Facilities Research Grant Act (7 U.S.C. 
450i(b)).


Sec.  3430.301  Purpose.

    The purpose of this program is to make competitive grants for 
fundamental and applied research, extension, and education to address 
food and agricultural sciences, as defined under section 1404 of the 
National Agricultural Research, Extension, and Teaching Policy Act of 
1977 (7 U.S.C. 3103).


Sec.  3430.302  Definitions.

    The definitions applicable to the competitive grant programs under 
this subpart include:
    Food and Agricultural Science Enhancement (FASE) awards means 
funding awarded to eligible applicants to strengthen science 
capabilities of Project Directors, to help institutions develop 
competitive scientific programs, and to attract new scientists into 
careers in high-priority areas of National need in agriculture, food, 
and environmental sciences. FASE awards may apply to any of the three 
agricultural knowledge components (i.e., research, education, and

[[Page 54762]]

extension). FASE awards include Pre- and Postdoctoral Fellowships, New 
Investigator grants, and Strengthening grants.
    Limited institutional success means institutions that are not among 
the most successful universities and colleges for receiving Federal 
funds for science and engineering research. A list of successful 
institutions will be provided in the RFA.
    Minority means Alaskan Native, American Indian, AsianAmerican, 
African-American, Hispanic American, Native Hawaiian, or Pacific 
Islander. The Secretary will determine on a case-by-case basis whether 
additional groups qualify under this definition, either at the 
Secretary's initiative, or in response to a written request with 
supporting explanation.
    Minority-serving institution means an accredited academic 
institution whose enrollment of a single minority or a combination of 
minorities exceeds fifty percent of the total enrollment, including 
graduate and undergraduate and full- and part-time students. An 
institution in this instance is an organization that is independently 
accredited as determined by reference to the current version of the 
Higher Education Directory, published by Higher Education Publications, 
Inc., 6400 Arlington Boulevard, Suite 648, Falls Church, Virginia 
22042.
    Multidisciplinary project means a project on which investigators 
from two or more disciplines collaborate to address a common problem. 
These collaborations, where appropriate, may integrate the biological, 
physical, chemical, or social sciences.
    Small and mid-sized institutions means academic institutions with a 
current total enrollment of 17,500 or less, including graduate and 
undergraduate as well as full- and part-time students. An institution, 
in this instance, is an organization that possesses a significant 
degree of autonomy. Significant degree of autonomy is defined by being 
independently accredited as determined by reference to the current 
version of the Higher Education Directory, published by Higher 
Education Publications, Inc., 6400 Arlington Boulevard, Suite 648, 
Falls Church, Virginia 22042 (703-532-2300).
    Strengthening grants means funds awarded to institutions eligible 
for FASE grants to enhance institutional capacity, with the goal of 
leading to future funding in the project area, as well as strengthening 
the competitiveness of the investigator's research, education, and/or 
extension activities. Strengthening grants consist of standard and 
Coordinated Agricultural Project (CAP) grant types as well as seed 
grants, equipment grants, and sabbatical grants.
    USDA EPSCoR States (Experimental Program for Stimulating 
Competitive Research) means States which have been less successful in 
receiving funding from AFRI, or its predecessor, the National Research 
Initiative (NRI), having a funding level no higher than the 38th 
percentile of all States based on a 3-year rolling average of AFRI and/
or NRI funding levels, excluding FASE Strengthening funds granted to 
EPSCoR States, and small, mid-sized, and minority-serving degree-
granting institutions. The most recent list of USDA EPSCoR States will 
be provided in the RFA.


Sec.  3430.303  Eligibility.

    (a) General. Unless otherwise specified in the RFA or this subpart, 
eligible applicants for the grant program implemented under this 
subpart include:
    (1) State agricultural experiment stations;
    (2) Colleges and universities (including junior colleges offering 
an associate's degree);
    (3) University research foundations;
    (4) Other research institutions and organizations;
    (5) Federal agencies;
    (6) National laboratories;
    (7) Private organizations or corporations;
    (8) Individuals; and
    (9) Any group consisting of 2 or more entities identified in 
paragraphs (a)(1) through (8) of this section.
    (b) Integrated projects. Eligible entities for the integrated 
component under this subpart include:
    (1) Colleges and universities;
    (2) 1994 Institutions; and
    (3) Hispanic-serving agricultural colleges and universities (as 
defined in section 1404 of the National Agricultural Research, 
Extension, and Teaching Policy Act of 1977 (7 U.S.C. 3103).
    (c) FASE Grants.
    (1) New investigator awards. To be eligible to apply, a new 
investigator must be in the beginning of his/her career, without an 
extensive publication record, and must have less than 5 years of 
postgraduate, career-track experience. To be eligible to receive a 
grant, the new investigator may not have received competitively awarded 
Federal funds, with the exception of pre- or postdoctoral awards or 
NRI/AFRI Seed Grants. The AFRI RFA will contain specific instructions 
for New Investigator Grant eligibility, restrictions, and application 
preparation.
    (2) Pre- and postdoctoral fellowships. The following eligibility 
requirements apply to applicants for pre- and postdoctoral fellowships.
    (i) The doctoral degree of the applicant must be received not 
earlier than January 1 of the calendar year three years prior to the 
submission of the proposal and not later than nine months after the 
proposal due date; and
    (ii) For pre-doctoral applications, the applicant must have 
advanced to candidacy by the application deadline.
    (3) Strengthening grants. Eligibility for all strengthening 
categories includes:
    (i) Small and mid-sized academic institutions that have had limited 
institutional success;
    (ii) Degree-granting institutions and State agricultural experiment 
stations (SAES) in USDA Experimental Program for Stimulating 
Competitive Research (EPSCoR) states; and
    (iii) Minority-serving institutions with limited institutional 
success.


Sec.  3430.304  Project Types and priorities.

    For each RFA, NIFA may develop and include the appropriate types of 
projects and focus areas to address the needs of scientists and 
educators in advanced or early stages of their careers and the 
differences in institutional capabilities. Types of projects will be 
revisited periodically based on stakeholder input and as deemed 
appropriate by NIFA. Types of projects under AFRI include, but are not 
limited to, the following.
    (a) Project Types.
    (1) Research projects. Single-function fundamental and applied 
Research Projects are conducted by individual investigators, co-
investigators within the same discipline, or multidisciplinary teams.
    (2) Education projects. Single-function Education Projects provide 
funding to conduct classroom instruction, laboratory instruction, and 
practicum experience in the food and agricultural sciences and other 
related educational matters. Projects may include faculty development, 
student recruitment and services, curriculum development, instructional 
materials and equipment, and innovative teaching methods.
    (3) Extension Projects. Single-function Extension Projects provide 
funding for programs and activities that deliver science-based 
knowledge and informal educational programs to people, enabling them to 
make practical decisions.
    (4) Integrated Projects. Multifunction Integrated Projects bring 
together at least two of the three components of the

[[Page 54763]]

agricultural knowledge system (i.e., research, education, and 
extension) around a problem or issue. The functions addressed in the 
project should be interwoven throughout the life of the project and act 
to complement and reinforce one another. The proposed research 
component of an Integrated Project should address knowledge gaps that 
are critical to the development of practices and programs to address 
the stated problem. The proposed education component of an Integrated 
Project should strengthen institutional capacities and result in 
curricula and related products that will be sustained beyond the life 
of the project. The proposed extension component of an Integrated 
Project should lead to measurable, documented changes in learning, 
actions, or conditions in an identified audience or stakeholder group. 
Appropriate project activities will be discussed in the RFA.
    (b) Grant Types.
    (1) Standard Grants. Standard Grants support targeted, original 
scientific Research, Education, Extension, or Integrated Projects.
    (2) Coordinated Agricultural Project (CAP) Grants. A CAP is a type 
of Research, Education, Extension, or Integrated Project that supports 
large-scale multi-million dollar projects that promote collaboration, 
open communication, and the exchange of information; reduce duplication 
of effort; and coordinate activities among individuals, institutions, 
States, and regions. Integrated CAP grants address problems through 
multi-function projects that incorporate at least two of the three 
components of the agricultural knowledge system (i.e., research, 
extension and education). Please note that there occasionally may be 
programs in which an Integrated CAP Grant is required to address all 
three components of the agricultural knowledge system. In a CAP, 
participants serve as a team that conducts targeted research, education 
and/or extension in response to emerging or priority area(s) of 
national need. A CAP contains the needed science-based expertise in 
research, education, and/or extension, as well as expertise from 
principle stakeholders and partners, to accomplish project goals and 
objectives.
    (3) Planning/Coordination Grants. Planning/Coordination Grants 
provide assistance to applicants in the development of quality future 
CAP applications. Applications must articulate benefits accrued from 
formal planning activities and provide evidence of a high likelihood 
that quality future applications will be submitted. These activities 
can take the form of workshops or symposia that bring together 
biological, physical, and social scientists and others as appropriate, 
including end-users and technology providers, to identify research, 
education, and/or extension needs, foster collaboration, and create 
networking opportunities. These events and the information they 
generate should be used to build teams that can develop applications to 
address priorities identified in the RFA.
    (4) Conference grants. AFRI provides partial or total funding for a 
limited number of scientific meetings that bring together scientists to 
identify research, education, or extension needs within the scope of 
AFRI.
    (5) FASE Grants.
    (i) General. FASE Grants are designed to help institutions develop 
competitive Research, Education, Extension, and Integrated Projects and 
to attract new scientists into careers in high-priority areas in 
agriculture, food, and environmental sciences. The FASE grants provide 
funding for new investigators, pre- and postdoctoral fellowships, and 
strengthening grants. FASE grants will be awarded as follows:
    (A) To an institution to allow for the improvement of the research, 
development, technology transfer, education, and extension capacity of 
the institution through the acquisition of special research equipment 
and the improvement of agricultural research, education, and extension;
    (B) To single investigators or coinvestigators who are beginning 
research, education, or extension careers and do not have an extensive 
publication record;
    (C) To ensure that the faculty of small, mid-sized, and minority-
serving institutions who have not previously been successful in 
obtaining competitive grants under this subsection receive a portion of 
the grants; and
    (D) To improve research, extension, and education capabilities in 
USDA EPSCoR States, as defined in Sec.  3430.302.
    (ii) Types of FASE Grants.
    (A) New Investigator Grant. These awards support Project Directors 
who meet the eligibility criteria of Sec.  3430.303.
    (B) Pre- and Postdoctoral Fellowship Grants. Doctoral candidates 
and individuals who recently have received or will soon receive their 
doctoral degree, and meet the eligibility criteria of Sec.  3430.303, 
may submit proposals for pre- and postdoctoral fellowships.
    (C) Strengthening Grants. Strengthening awards consist of the 
following four types of grants.
    (1) Strengthening Standard and CAP Grant. These grants provide 
funding to eligible entities, as defined in Sec.  3430.303, who 
submitted meritorious Standard Grant or CAP Grant applications that 
were highly ranked but were below the funding line.
    (2) Equipment Grant. These grants provide funding for the purchase 
of one major piece of equipment. The amount requested shall not exceed 
50 percent of the cost of the equipment. Unless eligible for a waiver 
(as described in Sec.  3430.306(b)(2)), the Project Director is 
responsible for securing the required non-Federal funds. No 
installation, maintenance, warranty, or insurance expenses may be paid 
from these awards, nor may these costs be part of the matching funds.
    (3) Seed Grant. A Seed grant is intended to provide funds to enable 
investigators to collect preliminary data in preparation for applying 
for a Standard Research, Standard Education, Standard Extension, or 
Integrated Grant. The grants are not intended to fund stand-alone 
projects, but rather projects that will lead to further work applicable 
to one of the priority areas in AFRI.
    (4) Sabbatical grants. A Sabbatical grant is intended to provide an 
opportunity for faculty to enhance their capabilities through 
sabbatical leaves.


Sec.  3430.305  Funding restrictions.

    (a) Construction. 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).
    (b) Indirect costs. Subject to Sec.  3430.54, indirect costs are 
allowable. However, indirect costs are not allowed on pre- and 
postdoctoral grants, equipment grants, or conference grants.


Sec.  3430.306  Matching requirements.

    (a) General. Matching funds are not required as a condition of 
receiving grants under this subpart except as provided in paragraphs 
(c) and (d) of this section.
    (b) Indirect costs. Use of indirect costs as in-kind matching 
contributions is subject to Sec.  3430.52(b).
    (c) Equipment grants.
    (1) Except as provided in paragraph (c)(2) of this section, the 
amount of an equipment grant may not exceed 50 percent of the cost of 
the special research equipment or other equipment acquired using funds 
from the grant.
    (2) Waiver. The Secretary may waive all or part of the matching 
requirement under paragraph (c)(1) of this section in

[[Page 54764]]

the case of a college, university, or research foundation maintained by 
a college or university that ranks in the lowest \1/3\ of such 
colleges, universities, and research foundations on the basis of 
Federal research funds received, if the equipment to be acquired using 
funds from the grant costs not more than $25,000, and has multiple uses 
within a single project or is usable in more than 1 project.
    (d) Applied research grants. As a condition of making a grant for 
applied research, the Secretary shall require the funding of the grant 
to be matched with equal matching funds from a non-Federal source if 
the grant is for applied research that is:
    (1) Commodity-specific; and
    (2) Not of national scope.


Sec.  3430.307  Coordination and stakeholder input requirements.

    (a) Stakeholder input. In making grants under this Part, NIFA shall 
solicit and consider input from persons who conduct or use agricultural 
research, extension, or education in accordance with section 102(b) of 
the Agricultural Research, Extension, and Education Reform Act of 1998 
(7 U.S.C. 7612(b)).
    (b) Allocation of funds to high-priority research. To the maximum 
extent practicable, the Secretary, in coordination with the Under 
Secretary, shall allocate grants under this subpart to high-priority 
research as defined in section 1672 of Food, Agriculture, Conservation, 
and Trade Act of 1990, 7 U.S.C. 5925. NIFA shall take into 
consideration, when available, the determinations made by the Advisory 
Board.


Sec.  3430.308  Duration of awards.

    The Secretary may set award limits up to 10 years based on 
priorities and stakeholder input, subject to other statutory 
limitations. The duration of individual awards may vary as specified in 
the RFA and is subject to the availability of appropriations.


Sec.  3430.309  Priority areas.

    NIFA will award competitive grants in the following areas:
    (a) Plant health and production and plant products. Plant systems, 
including:
    (1) Plant genome structure and function;
    (2) Molecular and cellular genetics and plant biotechnology;
    (3) Conventional breeding, including cultivar and breed 
development, selection theory, applied quantitative genetics, breeding 
for improved food quality, breeding for improved local adaptation to 
biotic stress and abiotic stress, and participatory breeding;
    (4) Plant-pest interactions and biocontrol systems;
    (5) Crop plant response to environmental stresses;
    (6) Unproved nutrient qualities of plant products; and
    (7) New food and industrial uses of plant products.
    (b) Animal health and production and animal products. Animal 
systems, including:
    (1) Aquaculture;
    (2) Cellular and molecular basis of animal reproduction, growth, 
disease, and health;
    (3) Animal biotechnology;
    (4) Conventional breeding, including breed development, selection 
theory, applied quantitative genetics, breeding for improved food 
quality, breeding for improved local adaptation to biotic stress and 
abiotic stress, and participatory breeding;
    (5) Identification of genes responsible for improved production 
traits and resistance to disease;
    (6) Improved nutritional performance of animals;
    (7) Improved nutrient qualities of animal products and uses; and
    (8) The development of new and improved animal husbandry and 
production systems that take into account production efficiency, animal 
well-being, and animal systems applicable to aquaculture.
    (c) Food safety, nutrition, and health. Nutrition, food safety and 
quality, and health, including:
    (1) Microbial contaminants and pesticides residue relating to human 
health;
    (2) Links between diet and health;
    (3) Bioavailability of nutrients;
    (4) Postharvest physiology and practices; and
    (5) Improved processing technologies.
    (d) Renewable energy, natural resources, and environment. Natural 
resources and the environment, including:
    (1) Fundamental structures and functions of ecosystems;
    (2) Biological and physical bases of sustainable production 
systems;
    (3) Minimizing soil and water losses and sustaining surface water 
and ground water quality;
    (4) Global climate effects on agriculture;
    (5) Forestry; and
    (6) Biological diversity.
    (e) Agriculture systems and technology. Engineering, products, and 
processes, including:
    (1) New uses and new products from traditional and nontraditional 
crops, animals, byproducts, and natural resources;
    (2) Robotics, energy efficiency, computing, and expert systems;
    (3) New hazard and risk assessment and mitigation measures; and
    (4) Water quality and management.
    (f) Agriculture economics and rural communities. Markets, trade, 
and policy, including:
    (1) Strategies for entering into and being competitive in domestic 
and overseas markets;
    (2) Farm efficiency and profitability, including the viability and 
competitiveness of small and medium-sized dairy, livestock, crop and 
other commodity operations;
    (3) New decision tools for farm and market systems;
    (4) Choices and applications of technology;
    (5) Technology assessment; and
    (6) New approaches to rural development, including rural 
entrepreneurship.


Sec.  3430.310  Allocation of AFRI funds.

    (a) General. The Secretary shall decide the allocation of funds 
among research, education, extension, and integrated multifunctional 
projects in an appropriate manner and in accordance with the allocation 
restrictions found in this section.
    (b) Integrated programs. Not less than 30 percent of funds 
allocated to AFRI each fiscal year shall be used to fund integrated 
programs.
    (c) FASE awards.
    (1) Each fiscal year, a percentage of AFRI funding (no less than 10 
percent of the available funding) will be awarded as FASE awards. This 
percentage requirement may be adjusted by the Secretary based upon 
priorities and stakeholder input.
    (2) The Secretary shall use not less than 25 percent of the funds 
made available for FASE grants to provide fellowships to outstanding 
pre- and postdoctoral students for research in the agricultural 
sciences.
    (d) Rapid Response Food and Agricultural Science for Emergency 
Issues Awards. The Secretary may allocate some funding to address 
emergency issues in the food and agricultural sciences as determined by 
the Secretary. Letters of intent and applications may be requested, as 
appropriate. Although the solicitation and award processes may be 
expedited for these awards, NIFA will adhere to AFRI peer review and 
competitive requirements of this subpart.


Sec.  3430.311  Allocation of research funds.

    (a) Fundamental research. Of the amount allocated by the Director 
for research, not less than 60 percent shall

[[Page 54765]]

be used to make grants for fundamental research (as defined in 
subsection (f)(1) of section 251 of the Department of Agriculture 
Reorganization Act of 1994 (7 U.S.C. 6971)).
    (1) Research by multidisciplinary teams. Of the amount allocated by 
the Director for fundamental research under this paragraph (a), not 
less than 30 percent shall be made available to make grants for 
research to be conducted by multidisciplinary teams.
    (2) Equipment grants. Of the amount allocated by the Director for 
fundamental research under this paragraph (a) not more than 2 percent 
shall be used for equipment grants.
    (b) Applied research. Of the amount allocated by the Director for 
research, not less than 40 percent shall be made available to make 
grants for applied research.


Sec.  3430.312  Emphasis on sustainable agriculture.

    NIFA shall ensure that grants made under this subpart are, where 
appropriate, consistent with the development of systems of sustainable 
agriculture as defined in section 1404 of NARETPA.
Subpart H--Organic Agriculture Research and Extension Initiative
Sec.
3430.400 Applicability of regulations.
3430.401 Purpose.
3430.402 Definitions.
3430.403 Eligibility.
3430.404 Project types and priorities.
3430.405 Funding restrictions.
3430.406 Matching requirements.
3430.407 Program requirements.

Subpart H--Organic Agriculture Research and Extension Initiative


Sec.  3430.400  Applicability of regulations.

    The regulations in this subpart apply to the program authorized 
under section 1672B of the Food, Agriculture, Conservation, and Trade 
Act of 1990 (FACT Act), as amended by the Food, Conservation, and 
Energy Act of 2008 (FCEA), Public Law 110-246 (7 U.S.C. 5925b).


Sec.  3430.401  Purpose.

    (a) The purpose of this program is to make competitive grants, in 
consultation with the Advisory Board, to support research and extension 
activities regarding organically grown and processed agricultural 
commodities.
    (b) Grants may be made for the following purposes:
    (1) Facilitating the development of organic agriculture production, 
breeding, and processing methods;
    (2) Evaluating the potential economic benefits to producers and 
processors who use organic methods;
    (3) Exploring international trade opportunities for organically 
grown and processed agricultural commodities;
    (4) Determining desirable traits for organic commodities;
    (5) Identifying marketing and policy constraints on the expansion 
of organic agriculture;
    (6) Conducting advanced on-farm research and development that 
emphasizes observation of, experimentation with, and innovation for 
working organic farms, including research relating to production and 
marketing and to socioeconomic conditions;
    (7) Examining optimal conservation and environmental outcomes 
relating to organically produced agricultural products; and
    (8) Developing new and improved seed varieties that are 
particularly suited for organic agriculture.


Sec.  3430.402  Definitions.

    The definitions applicable to the competitive grant programs under 
this subpart include:
    Integrated project means a project that incorporates the research 
and extension components of the agricultural knowledge system around a 
problem or activity.


Sec.  3430.403  Eligibility.

    Unless otherwise specified in the RFA, eligible applicants for the 
grant program implemented under this subpart include:
    (a) State agricultural experiment stations;
    (b) Colleges and universities (including junior colleges offering 
an associate's degree);
    (c) University research foundations;
    (d) Other research institutions and organizations;
    (e) Federal agencies;
    (f) National laboratories;
    (g) Private organizations or corporations;
    (h) Individuals; and
    (i) Any group consisting of 2 or more entities identified in 
paragraphs (a) through (i) of this section.


Sec.  3430.404  Project types and priorities.

    For each RFA, NIFA may develop and include the appropriate project 
types and priority areas based on stakeholder input and as deemed 
appropriate by NIFA. Duration and amount of grants may vary depending 
on the type of project.


Sec.  3430.405  Funding restrictions.

    (a) Construction. Funds made available for grants under this 
subsection shall not be used for the construction of a new building or 
facility or the acquisition, expansion, remodeling, or alteration of an 
existing building or facility (including site grading and improvement, 
and architect fees).
    (b) Indirect costs. Subject to Sec.  3430.54, indirect costs are 
allowable.
    (c) Start-up businesses. NIFA does not fund start-up businesses 
under this subpart.


Sec.  3430.406  Matching requirements.

    (a) In general. NIFA requires the recipient of a grant under this 
section to provide funds or in-kind support from non-Federal sources in 
an amount at least equal to the amount provided by the Federal 
Government.
    (b) Indirect costs. Use of indirect costs as in-kind matching 
contributions is subject to Sec.  3430.52(b).
    (c) Waiver authority. NIFA may waive the matching requirement 
specified in paragraph (a) of this section with respect to a grant if 
NIFA determines that:
    (1) The results of the project, while of particular benefit to a 
specific agricultural commodity, are likely to be applicable to 
agricultural commodities generally; or
    (2) When all three of the following conditions are present:
    (i) The project involves a minor commodity,
    (ii) The project deals with scientifically important research, and
    (iii) The grant recipient is unable to satisfy the matching funds 
requirement.


Sec.  3430.407  Program requirements.

    Following the completion of a peer review process for grant 
proposals received under this subpart, the Director may provide a 
priority for those proposals, found in the peer review process to be 
scientifically meritorious, that involve the cooperation of multiple 
entities.
Subpart I--Integrated Research, Education, and Extension Competitive 
Grants Program
Sec.
3430.500 Applicability of regulations.
3430.501 Purpose.
3430.502 Definitions.
3430.503 Eligibility.
3430.504 Project types and priorities.
3430.505 Funding restrictions.
3430.506 Matching requirements.
3430.507 Program requirements.

Subpart I--Integrated Research, Education, and Extension 
Competitive Grants Program


Sec.  3430.500  Applicability of regulations.

    The regulations in this subpart apply to the program authorized 
under section

[[Page 54766]]

406 of the Agricultural Research, Extension, and Education Reform Act 
of 1998 (AREERA), 7 U.S.C. 7626, as amended by the Food, Conservation, 
and Energy Act of 2008 (FCEA), Public Law 110-246.


Sec.  3430.501  Purpose.

    The purpose of this subpart is to make competitive grants for 
integrated, multifunctional agricultural research, extension, and 
education activities.


Sec.  3430.502  Definitions.

    The definitions applicable to the competitive grant programs under 
this subpart include:
    Integrated program means a program that brings the three 
agricultural knowledge components (i.e., research, extension, and 
education) together around a problem or activity through the award of 
integrated projects and single component projects.
    Integrated project means a project that brings at least two out of 
three agricultural knowledge components (i.e., research, extension, and 
education) together around a problem or activity.


Sec.  3430.503  Eligibility.

    The following entities are eligible to apply for and receive a 
grant under this subpart:
    (a) Colleges and universities;
    (b) 1994 Institutions; and
    (c) Hispanic-serving agricultural colleges and universities (as 
defined in section 1404 of the National Agricultural Research, 
Extension, and Teaching Policy Act of 1977 (7 U.S.C. 3103), and in the 
RFA).


Sec.  3430.504  Project types and priorities.

    For each RFA, NIFA may develop and include the appropriate project 
types and priority areas based on stakeholder input and as deemed 
appropriate by NIFA, in consultation with the Advisory Board, and that 
involve integrated research, extension, and education activities. 
Duration and amount of grants may vary depending on the type of 
project.


Sec.  3430.505  Funding restrictions.

    (a) Construction. Funds made available for grants under this 
subsection shall not be used for the construction of a new building or 
facility or the acquisition, expansion, remodeling, or alteration of an 
existing building or facility (including site grading and improvement, 
and architect fees).
    (b) Indirect Costs. Subject to Sec.  3430.54, indirect costs are 
allowable.


Sec.  3430.506  Matching requirements.

    (a) General requirement. If a grant under this subpart provides a 
particular benefit to a specific agricultural commodity, the recipient 
of the grant is required to provide funds or in-kind support to match 
the amount of funds provided by NIFA.
    (b) Indirect costs. Use of indirect costs as in-kind matching 
contributions is subject to Sec.  3430.52(b).
    (c) Waiver authority. NIFA may waive the matching requirement 
specified in paragraph (a) of this section with respect to a grant if 
NIFA determines that:
    (1) The results of the project, while of particular benefit to a 
specific agricultural commodity, are likely to be applicable to 
agricultural commodities generally; or
    (2) When all three of the following conditions are present:
    (i) The project involves a minor commodity,
    (ii) The project deals with scientifically important research, and
    (iii) The grant recipient is unable to satisfy the matching funds 
requirement.


Sec.  3430.507  Program requirements.

    (a) General. Grants under this subpart shall address priorities in 
the United States agriculture that involve integrated research, 
extension, and education activities as determined by the Secretary 
through Agency stakeholder input processes and in consultation with the 
Advisory Board.
    (b) Duration of awards. The term of a grant under this subpart may 
not exceed 5 years.

    Done at Washington, DC, this 30th day of August 2010.
Roger Beachy,
Director, National Institute of Food and Agriculture.
[FR Doc. 2010-22387 Filed 9-8-10; 8:45 am]
BILLING CODE 3410-22-P