[Federal Register Volume 61, Number 106 (Friday, May 31, 1996)]
[Rules and Regulations]
[Pages 27752-27759]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-13607]
[[Page 27751]]
_______________________________________________________________________
Part IV
Department of Agriculture
_______________________________________________________________________
Cooperative State Research, Education, and Extension Service
_______________________________________________________________________
7 CFR Part 3401
Rangeland Research Grants Program: Administrative Provisions; Final
Rule
Federal Register / Vol. 61, No. 106 / Friday, May 31, 1996 / Rules
and Regulations
[[Page 27752]]
DEPARTMENT OF AGRICULTURE
Cooperative State Research, Education, and Extension Service
7 CFR Part 3401
Rangeland Research Grants Program; Administrative Provisions
AGENCY: Cooperative State Research, Education, and Extension Service,
USDA.
ACTION: Final rule; amendment.
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SUMMARY: This final rule amends the Cooperative State Research,
Education, and Extension Service (CSREES) regulations relating to the
administration of the Rangeland Research Grants Program, which
prescribe the procedures to be followed annually in the solicitation of
rangeland research grant proposals, the evaluation of such proposals,
and the award of rangeland research grants under this program. This
rule implements the requirements of the National Environmental Policy
Act as outlined in Sec. 3401.6(c)(16), revises the objectives of the
program as stated in Sec. 3401.17(a), changes the agency name to
reflect the Departmental Reorganization, and makes a few additional
minor changes. CSREES is publishing these regulations in their entirety
to enhance their use by the public and to ensure expeditious submission
and processing of grant proposals.
EFFECTIVE DATE: May 31, 1996.
FOR FURTHER INFORMATION CONTACT:
Louise Ebaugh, Director, Office of Extramural Programs, Competitive
Research Grants and Awards Management, Cooperative State Research,
Education, and Extension Service, United States Department of
Agriculture, Ag Box 2245, Washington, DC 20250-2245. (Telephone (202)
401-5024).
SUPPLEMENTARY INFORMATION:
Paperwork Reduction
The Office of Management and Budget has previously approved the
information collection requirements contained in the current
regulations at 7 CFR Part 3401 under the provisions of 44 U.S.C.
Chapter 35 and OMB Document No. 0524-0022 has been assigned. Public
reporting burden for the information collections contained in these
regulations is estimated to vary from \1/2\ hour to 3 hours per
response, including the time for reviewing instructions, searching
existing data sources, gathering and maintaining the data needed, and
completing and reviewing the collection of information. Send comments
regarding this burden estimate or any other aspect of this collection
of information, including suggestions for reducing this burden, to
Department of Agriculture, Clearance Officer, OIRM, Room 404-W,
Washington, D.C. 20250; and to the Office of Management and Budget,
Paperwork Reduction Project (OMB Document No. 0524-0022), Washington,
D.C. 20503.
Classification
This rule has been reviewed under Executive Order 12866, and it has
been determined that it is not a ``significant regulatory action'' rule
because it will not have an annual effect on the economy of $100
million or more or adversely and materially affect a sector of the
economy, productivity, competition, jobs, the environment, public
health or safety, or State, local, or tribal governments or
communities. This rule will not create any serious inconsistencies or
otherwise interfere with any actions taken or planned by another
agency. It will not materially alter the budgetary impact of
entitlements, grants, user fees or loan programs and does not raise
novel legal or policy issues arising out of legal mandates, the
President's priorities, or principles set forth in Executive Order No.
12866.
Executive Order No. 12778
The following information is given in compliance with Executive
Order No. 12778. All State and local laws and regulations that are in
conflict with this rule are preempted. No retroactive effect is to be
given to this rule. This rule does not require administrative
proceedings before parties may file suit in court.
Executive Order No. 12612
This rule has been reviewed under Executive Order No. 12612
pertaining to Federalism. While this rule will affect institutions of
higher education and other nonprofit organizations, it will do so only
to the extent of requiring that applicants and grantees comply with
existing laws, regulations, public policies, and the dictates of good
management to ensure the safeguarding of public funds. For this reason,
CSREES has determined that this rule will not have sufficient
Federalism implications to warrant the preparation of a Federalism
Assessment.
Regulatory Flexibility Act
The Department certifies that this rule will not have a significant
impact on a substantial number of small entities as defined in the
Regulatory Flexibility Act, Pub. L. No. 96-534 (5 U.S.C. 601 et seq).
Regulatory Analysis
Not required for this rulemaking.
Environmental Impact Statement
This regulation does not significantly affect the environment.
Therefore, an environmental impact statement is not required under the
National Environmental Policy Act of 1969, as amended. (42 U.S.C. 4321
et seq.)
Catalog of Federal Domestic Assistance
The Rangeland Research Grants Program is listed in the Catalog of
Federal Domestic Assistance under No. 10.200. For reasons set forth in
the Final Rule-related Notice to 7 CFR Part 3015, Subpart V (48 FR
29115, June 24, 1983), this program is excluded from the scope of
Executive Order 12372 which requires intergovernmental consultation
with State and local officials.
Background and Purpose
Under the authority of section 1480 of the National Agricultural
Research, Extension, and Teaching Policy Act of 1977, as amended, the
Secretary of Agriculture is authorized to make grants to land-grant
colleges and universities, State agricultural experiment stations, and
colleges, universities, and Federal laboratories having a demonstrable
capacity in rangeland research, as determined by the Secretary, to
carry out rangeland research. 7 CFR 2.107(a)(21) delegates this
authority to the Administrator of CSREES. On April 23, 1993, the
Rangeland Research Program regulations, 7 CFR Part 3401, were formally
set out and published in the Federal Register. CSREES now amends the
administrative regulations governing the Rangeland Research Grant
Program authorized by section 1480 in order to implement the
requirements of the National Environmental Policy Act in
Sec. 3401.6(c)(16), revise the program objectives in Sec. 3401.17,
change the Agency name from the Cooperative State Research Service to
the Cooperative State Research, Education, and Extension Service, and
make a few minor changes.
On October 27, 1995, the Department published a Notice in the
Federal Register (60 FR 55160-55167) proposing the amendment of this
rule and inviting comments from interested individuals and
organizations. Written comments were requested by November 27, 1995. No
comments were received.
List of Subjects in 7 CFR Part 3401
Grant programs--agriculture, Grants administration.
[[Page 27753]]
For the reasons set out in the preamble, Title 7, Subtitle B,
Chapter XXXIV, Part 3401 of the Code of Federal Regulations, is revised
to read as follows:
CHAPTER XXXIV--COOPERATIVE STATE RESEARCH, EDUCATION, AND EXTENSION
SERVICE, DEPARTMENT OF AGRICULTURE
PART 3401--RANGELAND RESEARCH GRANTS PROGRAM
Subpart A--General
Sec.
3401.1 Applicability of regulations of this part.
3401.2 Definitions.
3401.3 Eligibility requirements.
3401.4 Matching funds requirement.
3401.5 Indirect costs and tuition remission costs.
3401.6 How to apply for a grant.
3401.7 Evaluation and disposition of applications.
3401.8 Grant awards.
3401.9 Use of funds; changes.
3401.10 Other Federal statutes and regulations that apply.
3401.11 Other conditions.
Subpart B--Scientific Peer Review of Research Applications for Funding
3401.12 Establishment and operation of peer review groups.
3401.13 Composition of peer review groups.
3401.14 Conflicts of interest.
3401.15 Availability of information.
3401.16 Proposal review.
3401.17 Review criteria.
Authority: Section 1470 of the National Agricultural Research,
Extension and Teaching Policy Act of 1977 (7 U.S.C. 3316).
Subpart A--General
Sec. 3401.1 Applicability of regulations of this part.
(a) The regulations of this Part apply to rangeland research grants
awarded under the authority of section 1480 of the National
Agricultural Research, Extension, and Teaching Policy Act of 1977, as
amended (7 U.S.C. 3333) to land-grant colleges and universities, State
agricultural experiment stations, and colleges, universities, and
Federal laboratories having a demonstrable capacity in rangeland
research, as determined by the Secretary, to carry out rangeland
research. The Administrator of the Cooperative State Research,
Education, and Extension Service (CSREES) shall determine and announce,
through publication each year of a Notice in the Federal Register,
professional trade journals, agency or program handbooks, the catalog
of Federal Domestic Assistance or any other appropriate means, research
program areas for which proposals will be solicited, to the extent that
funds are available.
(b) The regulations of this Part do not apply to research grants
awarded by the Department of Agriculture under any other authority.
Sec. 3401.2 Definitions.
As used in this part:
(a) Administrator means the Administrator of CSREES and any other
officer or employee of the Department of Agriculture to whom the
authority involved may be delegated.
(b) Department means the Department of Agriculture.
(c) Principal investigator means a single individual designated by
the grantee in the application for funding and approved by the
Administrator who is responsible for the scientific and technical
direction of the project.
(d) Grantee means the entity designated in the grant award document
as the responsible legal entity to whom a grant is awarded under this
Part.
(e) Research project grant means the award by the Administrator of
funds to a grantee to assist in meeting the costs of conducting, for
the benefit of the public, an identified project which is intended and
designed to establish, discover, elucidate, or confirm information or
the underlying mechanisms relating to a research program area
identified in the annual solicitation of applications.
(f) Project means the particular activity within the scope of one
or more of the research program areas identified in the annual
solicitation of applications, which is supported by a grant award under
this Part.
(g) Project period means the total length of time that is approved
by the Administrator for conducting the research project as outlined in
an approved application for funding.
(h) Budget period means the interval of time (usually 12 months)
into which the project period is divided for budgetary and reporting
purposes.
(i) Awarding official means the Administrator and any other officer
or employee of the Department to whom the authority to issue or modify
research project grant instruments has been delegated.
(j) Peer review group means an assembled group of experts or
consultants qualified by training or experience in particular
scientific or technical fields to give expert advice, in accordance
with the provisions of this Part, on the scientific and technical merit
of applications for funding in those fields.
(k) Ad hoc reviewers means experts or consultants qualified by
training or experience in particular scientific or technical fields to
render special expert advice, whose written evaluations of applications
for funding are designed to complement the expertise of the peer review
group, in accordance with the provisions of this Part, on the
scientific or technical merit of applications for Funding in those
fields.
(l) Research means any systematic study directed toward new or
fuller knowledge and understanding of the subject studied.
(m) Methodology means the project approach to be followed and the
resources needed to carry out the project.
Sec. 3401.3 Eligibility requirements.
(a) Except where otherwise prohibited by law, any land-grant
college and university, State agricultural experiment station, and
college, university, and Federal laboratory having a demonstrable
capacity in rangeland research, as determined by the Secretary, shall
be eligible to apply for and to receive a project grant under this
Part, provided that the applicant qualifies as a responsible grantee
under the criteria set forth in paragraph (b) of this section.
(b) To qualify as responsible, an applicant must meet the following
standards as they relate to a particular project:
(1) Have adequate financial resources for performance, the
necessary experience, organizational and technical qualifications, and
facilities, or a firm commitment, arrangement, or ability to obtain
such (including proposed subagreements);
(2) Be able to comply with the proposed or required completion
schedule for the project;
(3) Have a satisfactory record of integrity, judgment, and
performance, including, in particular, any prior performance under
grants and contracts from the Federal government;
(4) Have an adequate financial management system and audit
procedure which provides efficient and effective accountability and
control of all property, funds, and other assets; and
(5) Be otherwise qualified and eligible to receive a research
project grant under applicable laws and regulations.
(c) Any applicant who is determined to be not responsible will be
notified in writing of such findings and the basis therefor.
Sec. 3401.4 Matching funds requirement.
In accordance with section 1480 of the National Agricultural
Research, Extension, and Teaching Policy Act of
[[Page 27754]]
1977, as amended (7 U.S.C. 3333), except in the case of Federal
laboratories, each grant recipient must match the Federal funds
expended on a research project based on a formula of 50 percent Federal
and 50 percent non-Federal funding.
Sec. 3401.5 Indirect costs and tuition remission costs.
Pursuant to section 1473 of the National Agricultural Research,
Extension, and Teaching Policy Act of 1977, as amended (7 U.S.C. 3319),
funds made available under this program to recipients other than
Federal laboratories shall not be subject to reduction for indirect
costs or tuition remission costs. Since indirect costs and tuition
remission costs, except in the case of Federal laboratories, are not
allowable costs for purposes of this program, such costs may not be
used to satisfy the matching requirement set forth in Sec. 3401.4.
Sec. 3401.6 How to apply for a grant.
(a) General. After consultation with the Rangeland Research
Advisory Board, established pursuant to section 1482 of the National
Agricultural Research, Extension, and Teaching Policy Act of 1977, as
amended (7 U.S.C. 3335), a request for proposals will be prepared and
announced through publications such as the Federal Register,
professional trade journals, agency or program handbooks, the Catalog
of Federal Domestic Assistance, or any other appropriate means of
solicitation, as early as practicable each fiscal year. It will contain
information sufficient to enable all eligible applicants to prepare
rangeland research grant proposals and will be as complete as possible
with respect to:
(1) Descriptions of specific research program areas which the
Department proposes to support during the fiscal year involved,
including anticipated funds to be awarded;
(2) Deadline dates for having proposal packages postmarked;
(3) Name and address where proposals should be mailed;
(4) Number of copies to be submitted;
(5) Forms required to be used when submitting proposals; and
(6) Special requirements.
(b) Application kit. An Application Kit will be made available to
any potential grant applicant who requests a copy. This kit contains
required forms, certifications, and instructions applicable to the
submission of grant proposals.
(c) Format for research grant proposals. Unless otherwise stated in
the specific program solicitation, the following format applies:
(1) Application for funding. All research grant proposals submitted
by eligible applicants should contain an Application for Funding form,
which must be signed by the proposing principal investigator(s) and
endorsed by the cognizant authorized organizational representative who
possesses the necessary authority to commit the applicant's time and
other relevant resources.
(2) Title of Project. The title of the project must be brief (80-
character maximum), yet represent the major thrust of the research.
This title will be used to provide information to the Congress and
other interested parties who may be unfamiliar with scientific terms;
therefore, highly technical words or phraseology should be avoided
where possible. In addition, phrases such as ``investigation of'' or
``research on'' should not be used.
(3) Objectives. Clear, concise, complete, enumerated, and logically
arranged statement(s) of the specific aims of the research must be
included in all proposals.
(4) Procedures. The procedures of methodology to be applied to the
proposed research plan should be stated explicitly. This section should
include but not necessarily be limited to:
(i) A description of the proposed investigations and/or experiments
in the sequence in which it is planned to carry them out;
(ii) Techniques to be employed, including their feasibility;
(iii) Kinds of results expected;
(iv) Means by which data will be analyzed or interpreted;
(v) Pitfalls which might be encountered; and
(vi) Limitations to proposed procedures.
(5) Justification. This section of the grant proposal should
describe:
(i) The importance of the problem to the needs of the Department
and to the Nation, including estimates of the magnitude of the problem;
(ii) The importance of starting the work during the current fiscal
year; and
(iii) Reasons for having the work performed by the proposing
organization.
(6) Literature review. A summary of pertinent publications with
emphasis on their relationship to the research should be provided and
should include all important and recent publications. The citations
should be accurate, complete, written in acceptable journal format, and
be appended to the proposal.
(7) Current research. The relevancy of the proposed research to
ongoing and, as yet, unpublished research of both the applicant and any
other institutions should be described.
(8) Facilities and equipment. All facilities, including
laboratories, that are available for use or assignment to the proposed
research project during the requested period of support, should be
reported and described. Any materials, procedures, situations, or
activities, whether or nor directly related to a particular phase of
the proposed research, and which may be hazardous to personnel, must be
explained fully, along with an outline of precautions to be exercised.
All items of major instrumentation available for use or assignment to
the proposed research project during the requested period of support
should be itemized. In addition, items of nonexpendable equipment
needed to conduct and bring the proposed project to a successful
conclusion should be listed.
(9) Collaborative arrangements. If the proposed project requires
collaboration with other research scientists, corporations,
organizations, agencies, or entities, such collaboration must be
explained fully and justified. Evidence should be provided to assure
peer reviewers that the collaborators involved agree with the
arrangements. It should be specifically indicated whether or not such
collaborative arrangements have the potential for any conflict(s) of
interest. Proposals which indicate collaborative involvements must
state which applicant is to receive any resulting grant award, since
only one eligible applicant, as provided in Sec. 3401.3 may be the
recipient of a research project grant under one proposal.
(10) Research timetable. The applicant should outline all important
research phases as a function of time, year by year.
(11) Personnel support. All personnel who will be involved in the
research effort must be identified clearly. For each scientist
involved, the following should be included:
(i) An estimate of the time commitments necessary;
(ii) Vitae of the principal investigator(s), senior associate(s),
and other professional personnel to assist reviewers in evaluating the
competence and experience of the project staff. This section should
include curricula vitae of all key persons who will work on the
proposed research project, whether or not Federal funds are sought for
their support. The vitae are to be no more than two pages each in
length, excluding publication listings; and
(iii) A chronological listing of the most representative
publications during
[[Page 27755]]
the past five years shall be provided for each professional project
member of whom a curriculum vitae appears under this section. Authors
should be listed in the same order as they appear on each paper cited,
along with the title and complete reference as these usually appear in
journals.
(12) Budget. A detailed budget is required for each year of
requested support. In addition, a summary budget is required detailing
requested support for the overall project period. A copy of the form
which must be used for this purpose, along with instructions for
completion, is included in the Application Kit identified under
Sec. 3401.6(b) and may be reproduced as needed by applicants. Funds may
be requested under any of the categories listed, provided that the item
or service for which support is requested is allowable under applicable
Federal cost principles and can be identified as necessary for
successful conduct of the proposed research project. As stated in
Sec. 3401.4 each grant recipient must match the Federal funds expended
on a research project based on a formula of 50 percent Federal and 50
percent non-Federal funding. As stated in Sec. 3401.5, indirect costs
and tuition remission costs are not allowable costs for purposes of
this program and , thus, may not be used to satisfy the matching
requirement set forth in Sec. 3401.4.
(13) Research involving special considerations. A number of
situations encountered in the conduct of research require special
information and supporting documentation before funding can be approved
for the project. If such situations are anticipated, the proposal must
so indicate. It is expected that a significant number of rangeland
grant proposals will involve the following:
(i) Recombinant DNA molecules. All key personnel identified in a
proposal and all endorsing officials of a proposed performing entity
are required to comply with the guidelines establishing by the National
Institutes of Health entitled, ``Guidelines for Research Involving
Recombinant DNA Molecules,'' as revised. The Application Kit,
identified above in Sec. 3401.6(b), contains a form which is suitable
for such certification of compliance. In the event a project involving
recombinant DNA and RNA molecules results in a grant award, the
Institutional Biosafety Committee must approve the research before
CSREES funds will be released.
(ii) Human subjects at risk. Responsibility for safeguarding the
rights and welfare of human subjects used in any research project
supported with grant funds provided by the Department rests with the
performing entity. Regulations have been issued by the Department under
7 CFR Part 1c, Protection of Human Subjects. In the event that a
project involving human subjects at risk is recommended for award, the
applicant will be required to submit a statement certifying that the
research plan has been reviewed and approved by the Institutional
Review Board at the proposing organization or institution. The
Application Kit, identified above in Sec. 3401.6(b), contains a form
which is suitable for such certification. In the event a project
involving human subjects results in a grant award, funds will be
released only after the Institutional Committee has approved the
project.
(iii) Laboratory animal care. The responsibility for the humane
care and treatment of any laboratory animal, which has the same meaning
as ``animal'' in section 2(g) of the Animal Welfare Act of 1966, as
amended (7 U.S.C. 2132(g)), used in any research project supported with
Rangeland Research Grant Program funds rests with the performing
organization. In this regard, all key personnel identified in a
proposal and all endorsing officials of the proposed performing entity
are required to comply with the applicable provisions of the Animal
Welfare Act of 1966, as amended (7 U.S.C. 2131 et seq.) and the
regulations promulgated thereunder by the Secretary of Agriculture in 9
CFR Parts 1, 2, 3, and 4. In the event that a project involving the use
of a laboratory animal is recommended for award, the applicant will be
required to submit a statement certifying such compliance. The
Application Kit, identified above in Sec. 3401.6(b), contains a form
which is suitable for such certification. In the event a project
involving the use of living vertebrate animals results in a grant
award, funds will be released only after the Institutional Animal Care
and Use Committee has approved the project.
(14) Current and pending support. All proposals must list any other
current public or private research support, in addition to the proposed
project, to which key personnel listed in the proposal under
consideration have committed portions of their time, whether or not
salary support for the person(s) involved is included in the budgets of
the various projects. This section must also contain analogous
information for all projects underway and for pending research
proposals which are currently being considered by, or which will be
submitted in the near future to, other possible sponsors, including
other Departmental programs or agencies. Concurrent submission of
identical or similar projects to other possible sponsors will not
prejudice its review or evaluation by the Administrator or experts or
consultants engaged by the Administrator for this purpose. The
Application Kit, identified above in Sec. 3401.6(b), contains a form
which is suitable for listing current and pending support.
(15) Additions to project description. Each project description is
expected by the Administrator, members of peer review groups, and the
relevant program staff to be complete in itself. However, in those
instances in which the inclusion of additional information is
necessary, the number of copies submitted should match the number of
copies of the application requested in the annual solicitation of
proposals as indicated in Sec. 3401.6(a)(4). Each set of such materials
must be identified with the title of the research project as it appears
in the Application for Funding and the name(s) of the principal
investigator(s). Examples of additional materials may include
photographs which do not reproduce well, reprints, and other pertinent
materials which are deemed to be unsuitable for inclusion in the
proposal.
(16) National Environmental Policy Act. As outlined in CSREES's
implementing regulations of the National Environmental Policy Act of
1969 (NEPA) at 7 CFR Part 3407, environmental data or documentation for
the proposed project is to be provided to CSREES in order to assist
CSREES in carrying out its responsibilities under NEPA. These
responsibilities include determining whether the project requires an
Environmental Assessment or an Environmental Impact Statement or
whether it can be excluded from this requirement on the basis of
several categorical exclusions listed in 7 CFR part 3407. In this
regard, the applicant should review the categories defined for
exclusion to ascertain whether the proposed project may fall within one
or more of the exclusions, and should indicate if it does so on the
National Environmental Policy Act Exclusions Form (Form CSREES--1234)
provided in the Application Kit. Even though the applicant considers
that a proposed project may fall within a categorical exclusion, CSREES
may determine that an Environmental Assessment or an Environmental
Impact Statement is necessary for a proposed project should substantial
controversy on environmental grounds exist or if other extraordinary
conditions or circumstances are present that may
[[Page 27756]]
cause such activity to have a significant environmental effect.
(17) Organizational management information. Specific management
information relating to an applicant shall be submitted on an one-time
basis prior to the award of a research project grant identified under
this Part if such information has not been provided previously under
this or another program for which the sponsoring agency is responsible.
Copies of forms recommended for use in fulfilling the requirements
contained in this section will be provided by the agency specified in
this Part once a research project grant has been recommended for
funding.
Sec. 3401.7 Evaluation and disposition of applications.
(a) Evaluation. All proposals received from eligible applicants in
accordance with eligible research problem or program areas and
deadlines established in the applicable request for proposals shall be
evaluated by the Administrator through such officers, employees, and
others as the Administrator determines are particularly qualified in
the areas of research represented by particular projects. To assist in
equitably and objectively evaluating proposals and to obtain the best
possible balance of viewpoints, the Administrator may solicit the
advice of peer scientists, ad hoc reviewers, or others who are
recognized specialists in the research program areas covered by the
applications received. Specific evaluations will be based upon the
criteria established in Subpart B of this Part, Sec. 3401.17, unless
CSREES determines that different criteria are necessary for the proper
evaluation of proposals in one or more specific program areas, and
announces such criteria and their relative importance in the annual
program solicitation. The overriding purpose of such evaluations is to
provide information upon which the Administrator can make informed
judgments in selecting proposals for ultimate support. Incomplete,
unclear, or poorly organized applications will work to the detriment of
applicants during the peer evaluation process. To ensure a
comprehensive evaluation, all applications should be written with the
care and thoroughness accorded papers for publication.
(b) Disposition. On the basis of the Administrator's evaluation of
an application in accordance with paragraph (a) of this section, the
Administrator will approve using currently available funds, defer
support due to lack of funds or a need for further evaluations, or
disapprove support for the proposed project in whole or in part. With
respect to approved projects, the Administrator will determine the
project period (subject to extension as provided in Sec. 3401.9(c))
during which the project may be supported. Any deferral or disapproval
of an application will not preclude its reconsideration or a
reapplication during subsequent fiscal years.
Sec. 3401.8 Grant awards.
(a) General. Within the limit of funds available for such purpose,
the awarding official shall make research project grants to those
responsible, eligible applicants whose proposals are judged most
meritorious in the announced program areas under the evaluation
criteria and procedures set forth in this Part. The date specified by
the Administrator as the beginning of the project period shall be no
later than September 30 of the Federal fiscal year in which the project
is approved for support and funds are appropriated for such purpose,
unless otherwise permitted by law. All funds granted under this Part
shall be expended solely for the purpose for which the funds are
granted in accordance with the approved application and budget, the
regulations of this Part, the terms and conditions of the award, the
applicable Federal cost principles, and the Department's ``Uniform
Federal Assistance Regulations'' (Parts 3015 and 3019 of this Title).
(b) Grant award document and notice of grant award.
(1) Grant award documents. The grant award document shall include
at a minimum the following:
(i) Legal name and address of performing organization or
institution to whom the Administrator has awarded a rangeland research
project grant under the terms of this Part;
(ii) Title of project;
(iii) Name(s) and address(es) of principal investigator(s) chosen
to direct and control approved activities;
(iv) Identifying grant number assigned by the Department;
(v) Project period, which specifies how long the Department intends
to support the effort without requiring recompetition for funds;
(vi) Total amount of Departmental financial assistance approved by
the Administrator during the project period;
(vii) Legal authority(ies) under which the research project grant
is awarded to accomplish the purpose of the law;
(viii) Approved budget plan for categorizing allocable project
funds to accomplish the stated purpose of the research project grant
award; and
(ix) Other information or provisions deemed necessary by the
Department to carry out its granting activities or to accomplish the
purpose of a particular research project grant.
(2) Notice of grant award. The notice of grant award, in the form
of a letter, will be prepared and will provide pertinent instructions
or information to the grantee that is not included in the grant award
document.
(c) Categories of grant instruments. The major categories of grant
instruments by which the Department may provide support are as follows:
(1) Standard grant. This is a grant instrument by which the
Department agrees to support a specified level of research effort for a
predetermined project period without the announced intention of
providing additional support at a future date. This type of research
project grant is approved on the basis of peer review and
recommendation and is funded for the entire project period at the time
of award.
(2) Renewal grant. This is a document by which the Department
agrees to provide additional funding under a standard grant as
specified in paragraph (c)(1) of this section for a project period
beyond that approved in an original or amended award, provided that the
cumulative period does not exceed the statutory limitation. When a
renewal application is submitted, it should include a summary of
progress to date under the previous grant instrument. Such a renewal
shall be based upon new application, de novo peer review and staff
evaluation, new recommendation and approval, and a new award
instrument.
(3) Continuation grant. This is a grant instrument by which the
Department agrees to support a specified level of effort for a
predetermined period of time with a statement of intention to provide
additional support at a future date, provided that performance has been
satisfactory, appropriations are available for this purpose, and
continued support would be in the best interests of the Federal
government and the public. It involves a long-term research project
that is considered by peer reviewers and Departmental officers to have
an unusually high degree of scientific merit, the results of which are
expected to have a significant impact on the productivity of the
Nation's rangelands, and it supports the efforts of experienced
scientists with records of outstanding research accomplishments. This
kind of document normally will be awarded for an initial one-year
period and any subsequent continuation research project grants also
will be awarded in one-year increments, but in no case may the
cumulative period of
[[Page 27757]]
the project exceed the statutory limit. The award of a continuation
research project grant to fund an initial or succeeding budget period
does not constitute an obligation to fund any subsequent budget period.
A grantee must submit a separate application for continued support for
each subsequent fiscal year. Requests for such continued support must
be submitted in duplicate at least three months prior to the expiration
date of the budget period currently being funded. Such requests must
include: an interim progress report detailing all work performed to
date; an Application for Funding; a proposed budget for the enuring
period, including an estimate of funds anticipated to remain
unobligated at the end of the current budget period; and current
information regarding other extramural support for senior personnel.
Decisions regarding continued support and the actual funding levels of
such support in future years usually will be made administratively
after consideration of such factors as the grantee's progress and
management practices and within the context of available funds. Since
initial peer reviews were based upon the full term and scope of the
original rangeland research application for funding, additional
evaluations of this type generally are not required prior to successive
years' support. However, in unusual cases (e.g., when the nature of the
project or key personnel change or when the amount of future support
requested substantially exceeds the application for funding originally
reviewed and approved), additional reviews may be required prior to
approval of continued funding.
(4) Supplemental grant. This is an instrument by which the
Department agrees to provide small amounts of additional funding under
a standard, renewal, or continuation grant as specified in paragraphs
(c)(1), (c)(2), and (c)(3) of this section and may involve a short-term
(usually six months or less) extension of the project period beyond
that approved in an original or amended award, but in no case may the
cumulative period of the project, including short term extensions,
exceed the statutory time limitation. A supplement is awarded only if
required to assure adequate completion of the original scope of work
and if there is sufficient justification of need to warrant such
action. A request of this nature normally does not require additional
peer review.
(d) Obligation of the Federal government. Neither the approval of
any application nor the award of any research project grant shall
commit or obligate the United States in any way to make any renewal,
supplemental, continuation, or other award with respect to any approved
application or portion of an approved application.
Sec. 3401.9 Use of funds; changes.
(a) Delegation of fiscal responsibility. The grantee may not
delegate or transfer in whole or in part, to another person,
institution, or organization the responsibility for use or expenditure
of grant funds.
(b) Change in project plans.
(1) The permissible changes by the grantee, principal
investigator(s), or other key project personnel in the approved
research project grant shall be limited to changes in methodology,
techniques, or other aspects of the project to expedite achievement of
the projects' approved goals. If the grantee or the principal
investigator(s) is uncertain as to whether a change complies with this
provision, the question shall be referred to the Administrator for a
final determination.
(2) Changes in approved goals, or objectives, shall be requested by
the grantee and approved in writing by the Department prior to
effecting such changes. In no event shall requests for such changes be
approved which are outside the scope of the original approved project.
(3) Changes in approved project leadership or the replacement or
reassignment of other key project personnel shall be requested by the
grantee and approved in writing by the Department prior to effecting
such changes.
(4) Transfers of actual performance of the substantive programmatic
work in whole or in part and provisions for payment of funds, whether
or not Federal funds are involved, shall be requested by the grantee
and approved in writing by the Department prior to effecting such
changes, except as may be allowed in the terms and conditions of a
grant award.
(c) Changes in project period. The project period determined
pursuant to Sec. 3401.7(b) may be extended by the Administrator without
additional financial support, for such additional period(s) as the
Administrator determines may be necessary to complete, or fulfill the
purposes of, an approved project. Any extension, when combined with the
originally approved or amended project period, shall be conditioned
upon prior request by the grantee and approval in writing by the
Department, unless prescribed otherwise in the terms and conditions of
a grant award.
(d) Changes in approved budget. The terms and conditions of a grant
will prescribe circumstances under which written Departmental approval
will be requested and obtained prior to instituting changes in an
approved budget.
Sec. 3401.10 Other Federal statutes and regulations that apply.
Several other Federal statutes and/or regulations apply to grant
proposals considered for review or to research project grants awarded
under this Part. These include but are not limited to:
7 CFR Part 1c--USDA implementation of the Federal Policy for the
Protection of Human Subjects;
7 CFR Part 1.1--USDA implementation of Freedom of Information
Act:
7 CFR Part 3--USDA implementation of OMB Circular A-129
regarding debt collection;
7 CFR Part 15, Subpart A--USDA implementation of Title VI of the
Civil Rights Act of 1964;
7 CFR Part 3015--USDA Uniform Federal Assistance Regulations,
implementing OMB directives (i.e., Circular Nos. A-110, A-21, and A-
122) and incorporating provisions of 31 U.S.C. 6301-6308 (formerly,
the Federal Grant and Cooperative Agreement Act of 1977), as well as
general policy requirements applicable to recipients of Departmental
financial assistance;
7 CFR Part 3017, as amended--USDA implementation of
Governmentwide Debarment and Suspension (Nonprocurement) and
Governmentwide Requirements for Drug-Free Workplace (Grants);
7 CFR Part 3018--USDA implementation of New Restrictions on
Lobbying. Imposes new prohibitions and requirements for disclosure
and certification related to lobbying on recipients of Federal
contracts, grants, cooperative agreements, and loans;
7 CFR Part 3019--USDA Uniform Administrative Requirements for
Grants and Agreements with Institutions of Higher Education,
Hospitals, and Other Non-profit Organizations;
7 CFR Part 3051--Audits of Institutions of Higher Education and
Other Nonprofit Institutions;
7 CFR Part 3407--CSREES procedures to implement the National
Environmental Policy Act;
29 U.S.C. 794 (section 504, Rehabilitation Act of 1973) and 7
CFR Part 15B (USDA implementation of statute)--prohibiting
discrimination based upon physical or mental handicap in Federally
assisted programs; and
35 U.S.C. 200 et seq.--Bayh-Dole Act, controlling allocation of
rights to inventions made by employees of small business firms and
domestic nonprofit organizations, including universities, in
Federally assisted programs (implementing regulations are contained
in 37 CFR Part 401).
Sec. 3401.11 Other conditions.
The Administrator may, with respect to any research project grant
or to any class of awards, impose additional
[[Page 27758]]
conditions prior to or at the time of any award when, in the
Administrator's judgment, such conditions are necessary to assure or
protect advancement of the approved project, the interests of the
public, or the conservation of grant funds.
Subpart B--Scientific Peer Review of Research Applications for
Funding
Sec. 3401.12 Establishment and operation of peer review groups.
Subject to Sec. 3401.7, the Administrator will adopt procedures for
the conduct of peer reviews and the formulation of recommendations
under Sec. 3401.16.
Sec. 3401.13 Composition of peer review groups.
Peer review group members will be selected based upon their
training or experience in relevant scientific or technical fields,
taking into account the following factors:
(a) The level of formal scientific or technical education by the
individual;
(b) The extent to which the individual has engaged in relevant
research, the capacities in which the individual has done so (e.g.,
principal investigator, assistant), and the quality of such research;
(c) Professional recognition as reflected by awards and other
honors received from scientific and professional organizations outside
of the Department;
(d) The need of the group to include within its membership experts
from various areas of specialization within relevant scientific or
technical fields;
(e) The need of the group to include within its membership experts
from a variety of organizational types (e.g., universities, industry,
private consultant(s)) and geographic locations; and
(f) The need of the group to maintain a balanced membership, e.g.,
minority and female representation and an equitable age distribution.
Sec. 3401.14 Conflicts of interest.
Members of peer review groups covered by this Part are subject to
relevant provisions contained in Title 18 of the United States Code
relating to criminal activity, Department regulations governing
employee responsibilities and conduct (Part O of this title), and
Executive Order 11222 (3 CFR, 1964-1965 Comp., p. 306), as amended.
Sec. 3401.15 Availability of information.
Information regarding the peer review process will be made
available to the extent permitted under the Freedom of Information Act
(5 U.S.C. 552), the Privacy Act (5 U.S.C. 552a.), and implementing
Departmental regulations (Part 1 of this title).
Sec. 3401.16 Proposal review.
(a) All research Applications for Funding will be acknowledged.
Prior to technical examination, a preliminary review will be made for
responsiveness to the request for proposals (e.g., relationship of
application to research program area). Proposals that do not fall
within the guidelines as stated in the annual request for proposals
will be eliminated from competition and will be returned to the
applicant. Proposals whose budgets exceed the maximum allowable amount
for a particular program area as announced in the request for proposals
may be considered as lying outside the guidelines.
(b) All applications will be reviewed carefully by the
Administrator, qualified officers or employees of the Department, the
respective merit review panel, and ad hoc reviewers, as required.
Written comments will be solicited from ad hoc reviewers, when
required, and individual written comments and in-depth discussions will
be provided by peer review group members prior to recommending
applications for funding. Applications will be ranked and support
levels recommended within the limitation of total available funding for
each research program area as announced in the applicable request for
proposals.
(c) Except to the extent otherwise provided by law, such
recommendations are advisory only and are not binding on program
officers or on the awarding official.
Sec. 3401.17 Review criteria.
(a) Federally funded research supported under these provisions
shall be designed to, among other things, accomplish one or more of the
following purposes:
(1) improve management of rangelands as an integrated system and/or
watershed;
(2) remedy unstable or unsatisfactory rangeland conditions;
(3) increase revegetation and/or rehabilitation of rangelands;
(4) examine the health of rangelands; and
(5) define economic parameters associated with rangelands.
(b) In carrying out its review under Sec. 3401.16, the peer review
panel will use the following form upon which the evaluation criteria to
be used are enumerated, unless, pursuant to Sec. 3401.7(a), different
evaluation criteria are specified in the annual solicitation of
proposals for a particular program:
Peer Panel Scoring Form
Proposal Identification No.--------------------------------------------
Institution and Project Title------------------------------------------
I. Basic Requirement:
Proposal falls within guidelines? ________ Yes ________ No. If
no, explain why proposal does not meet guidelines under comment
section of this form.
II. Selection Criteria:
----------------------------------------------------------------------------------------------------------------
Score X
Score 1-10 Weight weight Comments
factor factor
----------------------------------------------------------------------------------------------------------------
1. Overall scientific and technical quality of
proposal............................................. 10
2. Scientific and technical quality of the approach... 10
Relevance and importance of proposed research to
solution of specific areas of inquiry................ 6
4. Feasibility of attaining objectives; adequacy of
professional training and experience, facilities and
equipment............................................ 5
----------------------------------------------------------------------------------------------------------------
Score------------------------------------------------------------------
Summary Comments-------------------------------------------------------
[[Page 27759]]
(c) Proposals satisfactorily meeting the guidelines will be
evaluated and scored by the peer review panel for each criterion
utilizing a scale of 1 through 10. A score of one (1) will be
considered low and a score of ten (10) will be considered high for each
selection criterion. A weighted factor is used for each criterion.
Done at Washington, D.C., this 23rd day of May, 1996.
B.H. Robinson
Administrator, Cooperative State Research, Education, and Extension
Service.
[FR Doc. 96-13607 Filed 5-30-96; 8:45 am]
BILLING CODE 3410-22-M
